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Full text of "Smithsonian Institution budget justifications for the fiscal year ... submitted to the Committees on Appropriations, Congress of the United States"

Smithsonian 



Fiscal Year 2013 



Submitted to the Committees on Appropriations 
Congress of the United States 



Smithsonian Institution 



Fiscal Year 2013 



Budget Justification to Congress 



February 201 2 



SMITHSONIAN INSTITUTION 

Fiscal Year 2013 Budget Request to Congress 

TABLE OF CONTENTS 

INTRODUCTION 

Overview 1 

FY 2013 Budget Request Summary 5 

SALARIES AND EXPENSES 

Summary of FY 2013 Changes 11 

Fixed Costs 

Salary and Related Costs 14 

Utilities, Rent, Communications, and Other 16 

Summary of Program Changes 21 

No-Year Funding 27 

Object Class Breakout 27 

Federal Resource Summary by Performance Objective and 

Program Category 28 

MUSEUMS AND RESEARCH CENTERS 

Grand Challenges and Interdisciplinary Research 30 

Unlocking the Mysteries of the Universe 

Introduction, Unlocking the Mysteries of the Universe 32 

National Air and Space Museum 33 

Smithsonian Astrophysical Observatory 38 

Major Scientific Instrumentation 42 

Understanding and Sustaining a Biodiverse Planet 

Introduction, Understanding and Sustaining a Biodiverse Planet 47 

National Museum of Natural History 48 

National Zoological Park 58 

Smithsonian Environmental Research Center 64 

Smithsonian Tropical Research Institute 68 

Valuing World Cultures 

Introduction, Valuing World Cultures 75 

Arthur M. Sackler Gallery/Freer Gallery of Art 76 

Center for Folklife and Cultural Heritage 80 

Cooper-Hewitt, National Design Museum 84 

Hirshhorn Museum and Sculpture Garden 89 

National Museum of African Art 94 

Understanding the American Experience 

Introduction, Understanding the American Experience 100 

Anacostia Community Museum 101 

Archives of American Art 105 

National Museum of African American History and Culture 110 



National Museum of American History, Behring Center 122 

National Postal Museum 128 

National Museum of the American Indian 131 

National Portrait Gallery 135 

Smithsonian American Art Museum 139 

MISSION ENABLING 

Introduction, Mission Enabling 144 

Outreach 145 

Communications 150 

Institution-wide Programs 153 

Office of Exhibits Central 161 

Museum Support Center 163 

Museum Conservation Institute 165 

Smithsonian Institution Archives 169 

Smithsonian Institution Libraries 171 

Office of the Chief Information Officer 175 

Administration 179 

Office of the Inspector General 184 

Facilities Maintenance 186 

Facilities Operations, Security, and Support 189 

FACILITIES CAPITAL 

Overview 193 

Summary Tables 197 

Revitalization 199 

Cooper-Hewitt, National Design Museum 199 

National Museum of American History 201 

National Museum of Natural History 202 

National Zoological Park 204 

Smithsonian Environmental Research Center 208 

Suitland Collections Facility 209 

Smithsonian Tropical Research Institute (Gamboa) 211 

Other Revitalization Projects 213 

Construction Supervision and Administration 214 

Facilities Planning and Design 216 

Construction Projects (NMAAHC) 217 

Emergency Projects/Earthquake Damage Repairs 219 

APPENDIX 

Organization Chart 221 

Visitation Chart 222 

Trust Funds Summary 223 

Appropriation Language and Citations 225 

Smithsonian Response to GAO Report on Repatriation 234 

Adjustments to FY 2012 Funding 238 



THE SMITHSONIAN INSTITUTION: MAKING PROGRESS 

The Smithsonian has a crucial role to play in the civic, educational, scientific, and 
artistic life of this nation. With our unparalleled collections, distinguished scholars, and 
digital outreach, we offer everyone a universal lens for learning, no matter where our 
audience lives. We offer the world a picture of America and America a picture of the 
world. 

The Smithsonian is addressing some of the world's most complex issues — and 
sharing the results with the world. We are implementing ambitious plans: mounting 
groundbreaking exhibitions; conducting important research; preserving collections; 
redesigning management operations; garnering new philanthropic support; enlisting 
new partners; engaging new, diverse audiences; sparking innovation; contributing to 
scientific discoveries; and helping to change the face of education in America. 

We are focused on implementing our new Strategic Plan that centers on four 
"Grand Challenges" and is buttressed by four Consortia to promote interdisciplinary and 
Institution-wide collaboration. We are also leveraging federal funding to become more 
entrepreneurial. 

For 166 years, the Smithsonian has served our nation and the world as a source of 
inspiration, discovery, and learning. In these tough economic times, the Smithsonian — 
with its free museums and the remarkable scope of information accessible from its 
websites and social media — has become a more valuable resource for the American 
people than ever before. By fully using the technological tools of the 21st century, the 
Institution is well positioned to help lead the nation in a new age of Enlightenment "for the 
increase and diffusion of knowledge," as James Smithson envisioned in his original 
bequest to the United States. 

Many look to the Smithsonian to capture the spirit of what it means to be American. 
There are so many stories behind Lincoln's hat, Jefferson's Bible, Stuart's Lansdowne 
portrait of George Washington, Edison's light bulb, Morse's telegraph, the Wright flyer, 
Amelia Earhart's Lockheed 5B Vega, the space shuttle Discovery, and the Star-Spangled 
Banner. That's why last year we launched nearly 100 new exhibitions at our 19 museums 
and galleries, and at the National Zoo — resulting in more than 29 million visits. 

We are committed to delivering life-changing learning experiences for learners of all 
ages, and in a way that invites their participation in our Revitalizing Education initiatives. 

At our National Museum of American History (NMAH), we regularly schedule 
citizenship swearing-in ceremonies in front of the Star Spangled Banner. We feature 
exhibitions that shed new light on the lives of our leaders, such as in Jefferson's Bible: 
The Life and Morals of Jesus of Nazareth. Jefferson assembled a private text in 1820, 
using excerpts from the Four Gospels of the New Testament in Greek, Latin, French. 
and English. His aim was to tell a chronological version of Jesus' life that distilled his 
moral teachings. Visitors see the newly conserved volume, one of the treasures of the 



NMAH, along with two of the source books Jefferson used, and an original copy of the 
1904 printing that Congress commissioned. This printing began a tradition of providing 
new members of Congress with a copy of the Jefferson Bible that was followed for 
nearly 50 years. For those who want to read the Jefferson Bible in its entirety, 
Smithsonian Books has released a first-ever, full-color facsimile. Soon, the Smithsonian 
Channel will air a documentary covering the behind-the-scenes conservation treatment 
and how and why the Jefferson Bible was created. This is a perfect example of how the 
Smithsonian is uniquely capable of telling a seminal story in different formats to 
maximize the educational impact. 

In a similar fashion, as the nation marks the 1 50th anniversary of the Civil War, 
we have a number of exhibitions, programs, and publications focusing on that war and 
how its tragedies caused us to grow as a people and as a nation. Rare artifacts, 
artworks, and documents from the Smithsonian's collections invite visitors to reflect on 
this tumultuous time in American history from various perspectives — Union and 
Confederate, freeman and slave — and in today's context as a nation united. 

Our Museum of American History worked with the Library of Congress and the 
Lawrence Berkeley National Laboratory to present a first hearing of the experimental 
sound recordings of Alexander Graham Bell from the 1880s. Recovering sound from six 
glass discs is the first step in a project to preserve and catalogue the Museum's early 
recording collection and to provide increased access to the collection and its contents for 
both the academic community and the public. These and similar activities, especially the 
opening of our new museum, the National Museum of African American History and 
Culture, in 2015, will connect Americans across all ages, places, and spaces. 

The world looks to the Smithsonian for groundbreaking scientific research. The 
results of our work can be seen everywhere. Smithsonian scientists assess the 
consequences of global change, keep aircraft safe from bird strikes, document and 
control invasive species, protect our soldiers from insect-borne diseases, and search 
the universe for planets similar to Earth. The Institution has an unmatched capacity to 
tackle biodiversity issues. For example, the Smithsonian Institution Global Earth 
Observatories network is a worldwide partnership of more than 30 institutions working to 
monitor the health of 4.5 million trees (8,500 species) on 41 plots in 21 countries. This 
project alone shows how the Smithsonian leads through discovery and collaboration. 

In New Mexico, Smithsonian scientists unearthed the fossilized skull and neck 
vertebrae of a new species that provides an evolutionary link between two groups of 
predatory dinosaurs. In a laboratory below the University of Arizona's football stadium, 
Smithsonian scientists are helping to construct the Giant Magellan Telescope, which 
promises to answer some of astronomy's most fascinating questions about black holes 
and galaxy formation. From uncovering bones millions of years old to locating stars 
millions of light years away, Smithsonian researchers are exploring many of today's 
most important scientific questions — and being recognized for doing so. No fewer than 
four of our senior scientists have won prestigious national awards for their work in the 
past year alone. 



We recognize the national need to improve K-12 education in this country and 
are working with teachers and education leaders, developing new approaches to help 
hook and engage learners of all ages with unexpected connections to their own 
interests. Last year we had more than 7.1 million education program attendees. Using 
technology, we are reaching all corners of our nation with distance-learning projects. 
Strengthening education and enhancing our nation's ability to compete globally are 
critical to our future, and we are responding to this need with inventive, formal, and 
informal educational experiences which serve students and teachers in all 50 states, 
including remote rural areas. Working in new combinations and collaborations, our 
experts offer more educational opportunities than ever before — as we work to excite 
the learning in everyone from age 3 to 93. 

For 26 years, the National Science Resources Center (NSRC) has leveraged the 
research and expertise of the Smithsonian and the National Academies of Science to 
develop science education programs. The NSRC won a $25.5 million grant from the 
Department of Education, and then raised $8 million in private matching funds for its 
initiative to transform Science, Technology, Engineering, and Mathematics (STEM) 
education. We have an important role to play in both STEM and STEAM (Science, 
Technology, Engineering, Arts, and Math) education, because we can offer multi- 
disciplinary experiences that bridge the arts and sciences. With our partners, the Cooper- 
Hewitt, National Design Museum won a $5 million Department of Education grant to 
improve art education in New York City schools. Taken together, these programs show 
how the Smithsonian's special ability to leverage federal funds to compete for private- 
sector financing makes the most effective use of those funds for educational purposes. 

We have improved the display and storage conditions of our vast collections, which 
include 137 million objects, specimens, and works of art. As stewards of the national 
collections, we are balancing the preservation of, and access to, these collections. We 
are stepping up efforts to digitize as many of the collections as resources permit. The 
collections we maintain serve as a resource for scientists from federal agencies such as 
the Departments of Agriculture and Defense, and the United States Geological Survey. 
We work with the Administration's Office of Science and Technology Policy to coordinate 
our efforts with federal agencies and avoid duplication of activities. Our National Museum 
of the American Indian was just awarded LEED-Existing Building silver certification for 
energy savings, water efficiency, sustainable site, improved indoor environmental quality. 
stewardship of materials, and sensitivity to impacts on the environment. 

The Smithsonian has more than 6,000 employees, including approximately 700 
scientists and scholars, curators, researchers, historians, and experts in fields from 
astrophysics to zoology, as well as more than 6,500 volunteers. These dedicated 
people are passionate about fulfilling the mission of the Smithsonian at the highest 
level. And they like what they do; for the second year in a row, the Smithsonian was 
named the fourth-best place to work in a federal Government survey, and Forbes 
named the Institution one of the best places for internships. 



As the world's largest museum and research complex, the Smithsonian has 19 
museums and galleries, 20 libraries, numerous research centers, and the National 
Zoological Park. We have physical facilities in eight states and the District of Columbia, 
and operate in nearly 100 countries, at sites ranging from the equator to both poles. The 
Institution has 170 affiliate museums in 40 states, the District of Columbia, Puerto Rico, 
and Panama. As part of our outreach programs, the Smithsonian Institution Traveling 
Exhibition Service, the largest traveling exhibition service in the world, reaches roughly 
five million people nationwide each year. Smithsonian Associates offers thousands of 
public programs, lectures, and live performances annually. 

The Institution's presence is further expanded through Smithsonian Networks' 
Emmy Award-winning Smithsonian HD channel, which now reaches millions of 
households. In addition, the Smithsonian magazine has subscribers in every state and 
several foreign countries, and nearly seven million people read each month's issue. 
Vista Research recently named the Smithsonian website the "most interesting" 
magazine website it identified in a reader survey. 

Increasing numbers of young people are using new technology to access the 
Smithsonian. Throughout the Institution, we have more than 750 Web and social media 
accounts, and that number is growing every day. Last year we had 81 million unique 
visitors to our websites, and nearly two million followers on Twitter and FaceBook. Our 
YouTube offerings have been viewed more than a million times. 

Our refreshed website has a more modern look and is easier for users to 
navigate. It won the 201 1 People's Voice Webby Award for Best Cultural Institution 
website. The public can now easily find customized information about how to visit and 
engage with the Smithsonian, either in person or online. Our free, easy-to-use 
Smithsonian visitor mobile application is now available. These interactive tools position 
the Smithsonian as a leader in mobile applications for museums. 

Yet, these new technologies are not meant to be one-way streets. In the 
information age, we are looking to hear from the public. People can interact with our 
researchers and experts through our blogs and mobile applications, comment on our 
exhibits, and provide us with information to help us better serve the public. We want the 
Smithsonian to be a conversation, not a lecture. 

Given these opportunities, challenges, and difficult budget realities, the 
Smithsonian is becoming more innovative, disciplined, focused, nimble, and self-reliant 
than in the past. We continue to work hard to raise private funds to complement our 
federal appropriations in achieving the goals of our Strategic Plan. To this end, we are 
launching a national fundraising campaign, increasing our efforts to win Government 
grants, and exploring new business opportunities. By working with the Administration 
and the Congress, the Smithsonian will aggressively address its challenges and take full 
advantage of its many new opportunities, using the Institution's Strategic Plan as a road 
map to excellence. In these ways, we will continue to bring the American spirit to life. 



SMITHSONIAN INSTITUTION 
FY 2013 BUDGET REQUEST SUMMARY 



Account 


FY 2012 
Appropriation 


FY 2013 
Request 


Salaries and Expenses 
Facilities Capital 
Total 


$635,511,552 

174,720,000 

$810,231,552 


$660,333,000 

196,500,000 

$856,833,000 



For FY 2013, the Smithsonian's request to fund essential operating expenses 
and revitalization of the Institution's physical infrastructure is $856.8 million. This 
total includes $660.3 million for Salaries and Expenses (S&E) and $196.5 million for 
the Facilities Capital account. The Facilities Capital account includes $85 million for 
the construction of the National Museum of African American History and Culture 
(NMAAHC) and $16.5 million for infrastructure repairs required as a result of the 
August 201 1 earthquake. A detailed summary is provided in the table at the end of 
this section. 

SALARIES AND EXPENSES 

FIXED COSTS INCREASES 

• Salaries and Related Costs (+$3,288,448) — This request funds a 

0.5 percent pay raise for FY 2013 (+$1,640,000) and pay adjustments for 
salary benefits (+$1,306,448). It also includes an increase of +$577,000 
for Panamanian pay parity at the Smithsonian Tropical Research Institute 
and a decrease of -$235,000 for Workers' Compensation. 

• Non-pay Items (+$1,150,000) — The Institution requests additional 
funding, largely for inflation-related increases in rent, software licenses, 
and other mandatory operating costs. Details are provided in the S&E 
section. 

PROGRAM CHANGES 



This FY 2013 budget request places the programmatic increases into the 
broad categories of the Smithsonian's Strategic Plan, thereby linking the funds 
directly to the Institution's overall mission. 



BROADENING ACCESS 

Digitization and Web/New Media (+$1,500,000) — The Smithsonian 
continues work on its Strategic Plan to become the trusted source of 
information on the World Wide Web by using new technologies to share its 
vast collections and extensive research, along with the expertise of its 
scholars, scientists, researchers, museum specialists, and curators. This 
request supports the Smithsonian's Digitization Strategic Plan and the 
Institution's Web and New Media Strategic Plan to stimulate learning and 
innovation. Digitizing the collections and making them accessible online 
are major Strategic Plan priorities. 

Exhibit Maintenance (+$330,000) — This funding request will enable 
museums to keep up with the routine maintenance needs resulting from 
expanded exhibition space, further visitation, and the more popular 
maintenance-intensive interactive exhibitions. 

STRENGTHENING COLLECTIONS 

Collections Care Initiative (+$1,400,000) — Collections stewardship is a 
key component and core priority of the Smithsonian's Strategic Plan. The 
increase requested provides resources to strategically correct collections 
care deficiencies identified by the Institution-wide collections assessment 
and collections space survey; address the Smithsonian's Inspector 
General collections-related audit recommendations; and improve the 
preservation, storage, and accessibility of priceless collections currently at 
risk of loss or damage. 

Animal Welfare (+$900,000) — This request provides resources to 
support the welfare and care of the animal collection. Excellence in animal 
care is paramount for maintaining the Zoo's accreditation. The requested 
increase supports animal nutrition, health care costs, and necessary 
supplies, as well as operational, enrichment, and transportation costs. 

MISSION ENABLING 

Facilities Maintenance (+$650,000) — The Smithsonian requests an 
increase of $650,000 to enable its maintenance program to continue the 
work of stabilizing and standardizing the overall condition of its facilities. 
The increase will fund high-priority security maintenance needs and for 
collection storage maintenance to support the needs of the Smithsonian's 
national collections. 

Facilities Operations and Support (+$1,470,000) — The Institution also 
requests an increase of $1 ,470,000 to address high-priority operating and 
safety requirements. This increase will enable the Institution to implement 



a centralized fleet replacement program for vehicles and boats to correct 
deficiencies that are currently impacting critical research activities. The 
marine research vessels represent the most pressing institutional 
maintenance need, and a recent survey revealed that most of the assets 
were in a state of disrepair. This increase will also enable the Institution to 
comply with the increased background investigation requirements and 
help the Smithsonian reduce injuries and illnesses among its staff and 
visitors. 

• Internal Controls (+$522,000) — This request supports the Board of 
Regents' efforts to strengthen financial and logistical oversight of the 
Institution. These management resources will help the Institution eliminate 
the internal controls deficiencies identified by the Independent Review 
Committee and validated by a consultant-supported assessment that 
highlighted critical weaknesses. The request also includes converting the 
Inspector General position to a federally funded position, as directed by 
the Board of Regents. 

• Training (+$450,000) — This funding supports a comprehensive, centrally 
funded, mandated training program which includes initial and follow-up 
supervisor training with the myriad rules, regulations, and policies involved 
in employee supervision. 

• Diversity (+$1 61 ,000) — This funding request will provide the required 
resources to fully implement the Supplier Diversity Program and 
strengthen the Institution's efforts to develop and implement annual 
procurement plans and small business and minority owned small business 
outreach plans and initiatives. 

National Museum of African American History and Culture (NMAAHC) 

• The requested S&E increase to NMAAHC's base (+$13,000,000) reflects 
the need to enhance what has been, to this point, limited staff and funding 
for the development of exhibitions, programming, and operations. This 
increase is imperative to provide the necessary developmental and 
fundraising support for both the construction and program efforts required 
to meet the 201 5 opening date and time frames established for the 
project. 



FACILITIES CAPITAL PROGRAM 

This budget request for the Facilities Capital Program (+$196.5 million) 

includes $85 million for the construction of the National Museum of African 
American History and Culture (NMAAHC) and $111.5 million for critical repairs to 
arrest the deterioration of some of the Institution's oldest buildings, as well as to 
maintain the current condition of other facilities through systematic renewal and 
renovations. The Government Accountability Office and other independent 
assessments have validated that the Smithsonian requires $150 million in federal 
funds annually to address the deteriorating condition of its buildings. In FY 2013, 
the Institution requests $111.5 million that includes the Institution's highest 
priority one and two projects. 

For FY 2013, this request will enable the Smithsonian to continue major 
revitalization work at the National Zoological Park ($17.8 million) and the National 
Museum of Natural History ($8.8 million). It also includes funds to renovate the 
Smithsonian Environmental Research Center laboratory and access road 
($15.1 million); convert the uninhabitable school house at the Smithsonian 
Tropical Research Institute into an urgently needed research and laboratory 
facility in Panama ($7.0 million); continue revitalization of the National Museum of 
American History ($1 1 .0 million); combine federal with private funds for the 
renovation of the mansion at Cooper-Hewitt, National Design Museum ($1.4 
million); perform critical revitalization work at the Suitland Collections Facility 
($4.0 million); and provide for critical revitalization projects costing under $5 
million each throughout the Institution ($19.1 million). This request also accounts 
for planning and design of future projects estimated at $10.8 million, and for 
$16.5 million in earthquake-related repairs at the Museum Support Center and 
the National Air and Space Museum. Details are provided in the Facilities Capital 
section of this budget request. The Institution is also requesting $85 million in 
funds for construction of NMAAHC. The Smithsonian is committed to raising 
50 percent of the total construction cost of the new Museum. 



SMITHSONIAN INSTITUTION 

FY 2013 BUDGET REQUEST SUMMARY 

BY APPROPRIATION ACCOUNT 



SALARIES AND EXPENSES 


FTEs 


Amount 


FY 2012 Appropriation 


4,195 


$635,511,552 


FY 2013 Changes 






FIXED COSTS INCREASES 






Salaries and Related Costs 




3,288,448 


Utilities, Postage, Rent, Communications, and Other 




1,150,000 


PROGRAM INCREASES 






Broadening Access 






Digitization 


2 


1,500,000 


Exhibit Maintenance 





330,000 








Strengthening Collections 






Collections Care Initiative 





1,400,000 


Animal Welfare 





900,000 








Mission Enabling 






Facilities Maintenance 


1 


650,000 


Facilities Operations and Support 


1 


1,470,000 


Internal Controls 


3 


522,000 


Training 





450,000 


Diversity 


1 


161,000 


National Museum of African American History and 
Culture 


30 


13,000,000 


Total FY 2013 Salaries and Expenses 


4,233 


$660,333,000 



FACILITIES CAPITAL 


FTEs 


Amount 


FTEs in Base 


48 




Revitalization 






Cooper-Hewitt, National Design Museum 




1,400,000 


National Museum of American History 




11,000,000 


National Museum of Natural History 




8,800,000 


National Zoological Park 




17,800,000 


Smithsonian Environmental Research Center 




15,100,000 


Smithsonian Tropical Research Institute 




7,000,000 


Suitland Collections Facility 




4,000,000 


Other Revitalization Projects 




19,100,000 


Earthquake Emergency Repairs 




16,500,000 








Planning and Design 






Facilities Planning and Design 




10,800,000 








Construction 






National Museum of African American History and 
Culture 




85,000,000 


Total FY 2013 Facilities Capital 


48 


$196,500,000 








FY 2013 REQUEST, ALL ACCOUNTS 


4,281 


$856,833,000 



10 



SMITHSONIAN INSTITUTION 

SALARIES AND EXPENSES (S&E) 

Summary of FY 2013 Changes 





FTEs 


$000 


FY 2012 S&E Appropriation 


4,195 


635,511,552 








FY 2013 Changes: 












Fixed Costs 






Pay and Salary-Related Costs 




3,288,448 


Utilities, Postage, Rent, Communications, and Other 




1,150,000 








Total Fixed Costs 





4,438,448 








Program Changes 






Broadening Access 






Digitization 


2 


1,500,000 


Exhibit Maintenance 





330,000 








Strengthening Collections 






Collections Care Initiative 





1,400,000 


Animal Welfare 





900,000 








Mission Enabling 






Facilities Maintenance 


1 


650,000 


Facilities Operations, Security, and Support 


1 


1,470,000 


Internal Controls 


3 


522,000 


Training 





450,000 


Diversity 


1 


161,000 








National Museum of African American History and 
Culture 


30 


13,000,000 








Total Program Costs 


38 


20,383,000 








TOTAL FY 2013 Budget Request 


4,233 


660,333,000 



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13 



SALARIES AND EXPENSES 



FY 2011 Appropriation 


$634,889,000 


FY 2012 Appropriation 


$635,512,552 


FY 2013 Estimate 


$660,333,000 



For FY 2013, the Institution requests $660.3 million in the Salaries and Expenses 
(S&E) account. Within the total increase requested, approximately 38 percent is 
attributable to fixed costs for sustaining base operations (e.g., pay, utilities, rent, etc.), 
and the remainder is for priority requirements throughout the Institution. In addition, the 
Institution requests an increase of $13.0 million for the costs required for the legislated 
National Museum of African American History and Culture. 

FIXED COSTS 

SALARY AND PAY-RELATED COSTS (+$3,288,448) — The Institution 
requests an increase of $3.3 million for higher salary and pay-related costs. The increase 
funds a 0.5 percent pay raise in January 2013, and also provides funding for increases in 
benefit costs for employees, especially health care. The request also supports the higher 
pay requirements for the Smithsonian Tropical Research Institute's (STRI) local Panama 
employees and reflects a decrease in Workers' Compensation costs. The following is a 
line-item display of the funds requested. 

Salary and Related Costs: Requested 

■ 2013 pay raise (3/4 year at 0.5%) $1,640,000 

■ Benefit increases 1,306,448 

■ STRI Local Panama Employees 577,000 

■ Workers' Compensation -235,000 
Total $3,288,448 

• Proposed 2013 Pay Raise (+$1,640,000) — This funds the proposed 0.5 percent 
January 201 3 pay raise for three-quarters of a year. 

• Benefit increases (+$1,306,448) — This funds increased benefit costs, including health 
care premiums and the shift of employees from the CSRS to FERS retirement system. 

• Panamanian Pay Parity (+$577,000) — With the termination of the Panama Canal 
Treaties in 2000, U.S. and Panama laws required a transition to a local-payroll system 
governed by the labor laws of Panama for locally hired employees. The compensation 
policy for locally hired employees at STRI, which was instituted in 2000, has not kept 
pace with U.S. Government standards or the remarkable growth of Panama's economy. 
To implement a more equitable compensation system for locally hired Panamanian 
employees and enable STRI to compete in the local labor market, the Smithsonian 
plans to adopt the U.S. Department of State employment standards and practices used 
by U.S. Embassies around the world. The requested increase (+$577,000) wiil begin the 
three-year transition to provide equitable salaries and benefits for the locally hired 
employees, comparable to those at the local U.S. Embassy. 

14 



Workers' Compensation (-$235,000) — This supports the provisions of Section 
8147(b) of Title 5, United States Code, as amended by Public Law 94-273. The 
Workers' Compensation bill for FY 2013 is $3,421,000, based on actual costs incurred 
from July 1 , 201 through June 30, 201 1 , as invoiced by the Department of Labor on 
August 12, 201 1 . The FY 2012 amount for Workers' Compensation is $3,656,000. 



Increased Pay and Related Costs (Dollars in Thousands) 


Line Item 


Other 
Adjustments 


FY 2013 
Pay Increase 


National Air and Space Museum 


29 


71 


Smithsonian Astrophysical Observatory/Major Scientific Instrumentation 


44 


66 


Universe — Consortium 








National Museum of Natural History 


77 


173 


National Zoological Park 


37 


87 


Smithsonian Environmental Research Center 


85 


15 


Smithsonian Tropical Research Institute 


20 


43 


Biodiversity — Consortium 


3 


3 


Arthur M. Sackler Gallery/Freer Gallery of Art 


10 


20 


Center for Folklife and Cultural Heritage 


4 


8 


Cooper-Hewitt, National Design Museum 


7 


12 


Hirshhorn Museum and Sculpture Garden 


7 


14 


National Museum of African Art 


7 


12 


World Culture — Consortium 








Anacostia Community Museum 


3 


7 


Archives of American Art 


3 


7 


National Museum of African American History and Culture 


22 


24 


National Museum of American History, Behring Center 


35 


82 


National Postal Museum 


2 


3 


National Museum of the American Indian 


51 


98 


National Portrait Gallery 


10 


22 


Smithsonian American Art Museum 


15 


35 


American Experience — Consortium 


1 


1 


Outreach 


14 


24 


Communications 


4 


9 


Institution-wide Programs 


18 





Office of Exhibits Central 


5 


12 


Museum Support Center 


3 


7 


Museum Conservation Institute 


5 


11 


Smithsonian Institution Archives 


4 


8 


Smithsonian Institution Libraries 


16 


32 


Office of the Chief Information Officer 


74 


60 


Administration 


262 


93 


Inspector General 


4 


10 


Facilities Maintenance 


116 


162 


Facilities Operations, Security, and Support 


309 


409 


Total Increased Pay Costs 


$1,306 


$1,640 



15 



UTILITIES, POSTAGE, RENT, COMMUNICATIONS, AND OTHER 
FIXED COSTS (+$1,150,000) — For FY 2013, the Institution requests a net 
increase of $1,150,000 for utilities, postage, rent, communications, and other fixed 
costs accounts, as detailed in the chart below. The increase reflects consumption and 
rate changes in the utilities accounts, inflationary increases, and program needs in the 
rent accounts. In addition, the increase in the Communications and other accounts are 
requested to provide for fixed software licensing and maintenance; inflationary 
increases for library subscriptions; and audit requirements. 

The following table displays estimates from FY 201 1 through FY 2013. The detail that 
follows addresses the specific changes impacting the FY 2013 accounts. 

Federal Utilities, Postage, Rent, Communications, and 

Other Fixed Costs 

FY 2011-FY 2013 (Dollars in Thousands) 





FY 2011 
Approp. 


FY 2012 
Approp. 


FY 2013 
Estimate 


Change 


Utilities: 

Electricity 

Chilled Water 

Steam 

Natural Gas 

DC Gov't Water/Sewer 

Other Water and Fuel Oil 
Subtotal, Utilities 


21,466 
7,597 
8,675 
4,373 
2,802 
1,031 

45,944 


21,020 
7,298 
8,777 
4,027 
3,451 
1,094 

45,667 


20,582 
7,353 
8,613 
4,050 
2,837 
1,169 

44,604 


-438 
55 

-164 
23 

-614 

75 

-1,063 


Postage 


1,790 


1,661 


1,661 





Motor Fuel 


370 


370 


370 





Rental Space: 

Central 

Unit 
Subtotal, Rent 


27,643 

5,359 

33,002 


28,432 

5,409 

33,841 


29,277 

5,564 

34,841 


845 

155 

1,000 


Communications 


14,146 


15,527 


16,518 


991 


Other 


1,566 1,602 


1,824 


222 


Total 


$96,818 


$98,668 


$99,818 


$1,150 



UTILITIES (-$1,063,000) — The utilities request supports electricity; chilled water; 
steam; natural gas; Washington, DC Government Water and Sewer; and other water 
and fuel-oil services. The request includes the following: 



Electricity (-$438,000) — Electricity is used to operate the Smithsonian's large 
infrastructure. The major use of electricity is for air-conditioning that provides 
essential climate control to protect the priceless national collections as well as 
visitors and staff. The electricity estimate is reduced from the FY 2012 request to 
reflect lower utility rates overall, with small increases to support new facilities and 
program changes. 

16 



This decrease reflects the net effect of projected rate increases in FY 2013 
(+$387,000); added electricity demands resulting from the Smithsonian Tropical 
Research Institute's (STRI) Gamboa laboratory replacement project (+$194,000) 
and the Museum Support Center's (MSC) laboratory renovation project (+$17,000); 
an adjustment to the FY 2012 estimate because of lower actual electricity supply 
rates in the Washington Metropolitan Area (-$1,010,000); and anticipated 
increased reimbursements in FY 2013 (-$26,000). 

Chilled Water (+$55,000) — Chilled water costs represent both the annual cost of 
the fixed, 15-year debt service for the joint project between the General Services 
Administration (GSA) and the Smithsonian to supply chilled water from GSA's 
central plant to the Smithsonian's south Mall facilities, and the variable cost for 
actual chilled water usage. The request includes an anticipated 2 percent rate 
increase in FY 2013 (+$60,000), which is offset by increased reimbursements due 
to higher rates (-$5,000). 

Steam (-$164,000) — The Smithsonian uses steam for heating and humidification, 
and to produce hot water for facilities on the Mall and in New York City. The estimate 
reflects a decrease in the GSA steam rate for facilities on the Mall (-$164,000). 

Natural Gas (+$23,000) — The Smithsonian uses natural gas for heating and 
generating steam. The net estimate includes funds for anticipated rate increases in 
FY 2013 that average 3 percent among all accounts (+$122,000); added demand 
resulting from the MSC's laboratory renovation project (+$6,000); a downward 
adjustment to the FY 2012 estimate for rate increases (-$100,000); and anticipated 
increased reimbursements due to higher rates (-$5,000). 

DC Water and Sewer (-$614,000) — Funds cover the costs of both water and 
sewer services provided by the District of Columbia Water and Sewer Authority 
(DCWSA). This decrease represents rate and billing adjustments transmitted by 
DCWSA to the Smithsonian (-$607,000) and anticipated increased reimbursements 
(-$7,000). 

Other Water and Fuel Oil (+$75,000) — Funds provide water service for facilities 

outside of Washington, DC, and fuel oil used in dual-fuel boilers and emergency 
generators as a backup to natural gas. The net estimate includes a reduction for 
water (-$92,000) and an increase for fuel oil (+$167,000). 

The decrease for water reflects the net effect of an anticipated 6 percent rate 
increase in FY 201 3 for all water accounts outside of Washington, DC (+$39,000): 
an adjustment for FY 201 1 actual water rates, which were lower than anticipated 
(-$135,000); and increases for added water demands which resulted from the STRI 
Gamboa laboratory replacement project (+$1,000) and the MSC laboratory 
renovation project (+$3,000). 

The increase for fuel oil provides additional resources for an anticipated 8 percent 
rate increase in FY 2013 among all fuel-oil accounts (+$32,000) and additional 
resources to cover higher-than-expected rate increases in FY 201 1 (+$135,000). 

17 



POSTAGE — Funds provide for all official domestic and international mail services. 
No increases are requested for postage in FY 2013. 

RENTAL SPACE (+$1,000,000) — Funds provide for the long-term rental of office, 
collections and warehouse storage, and laboratory space. For FY 2013, the 
Smithsonian is requesting increases of $845,000 for centrally funded lease 
requirements and $155,000 for unit-funded, programmatic lease requirements, as 
follows: 

• Central Rent (+$845,000) — The increase provides additional base rent funds for 
leased office and storage space, as follows: 

Escalation (+$845,000) — Provides for annual rent increases in accordance 
with the terms of current lease contracts. Among the contracts, the annual 
escalation rate for base rent averages 3 percent, and operating and real-estate 
taxes are each estimated at 4 percent above FY 2012 estimates. 

• Unit Rent (+$155,000) — Justified here, but included in the following museums' 
line items, are unit-funded rent increases needed to support Smithsonian 
programs. The increases are as follows: 

Escalation (+$49,000) — Provides funding for the annual escalation of 
contractual lease costs and rent-related services. The requested increase supports 
leased space occupied by the Cooper-Hewitt, National Design Museum (+$14,000) 
and the National Museum of African American History and Culture (+$35,000). 

Center for Folklife and Cultural Heritage (CFCH) (+$106,000) — In FY 201 1 , 
the Smithsonian signed a lease for 10,871 square feet of storage space in 
Lanham, Maryland to meet CFCH's critical storage needs and to address the 
National Park Service's request that the Institution reduce the Folklife Festival's 
preparation time on the National Mall. The requested $106,000, along with $34,000 
included in the FY 2012 request, will provide $140,000 to cover the Center's 
annual rent and rent-related costs to prepare for Festival events in FY 2013. 

COMMUNICATIONS (+$991,000) — The communications base supports the 
operations of the Institution's voice and data telecommunications infrastructure. 

• License and Maintenance (+$991,000) — This budget request supports annual 
increases in software license fees and hardware maintenance costs, as follows: 



Item 


$000s 


SharePoint Maintenance and Licenses 


81 


NetApps Maintenance 


15 


ArtCIS and SIRIS Maintenance 


10 


Digital Asset Management System (DAMS) Maintenance 


40 


3 D Digitization Software Maintenance 


30 


Dashboard Software Maintenance 


25 



18 



Internet 1 Leased Lines, 600 Mb to 1 Gig 


160 


Vidyo Licenses and Maintenance 


60 


Trumba Calendaring 


30 


McAffee Anti-virus Maintenance and Licenses 


170 


Security Software Maintenance Increases 


110 


Intrusion Detection System (IDS) maintenance, network and appliances 


250 


2-Factor Authentication maintenance and licenses 


10 


Total Increase 


$991 



Hardware and software throughout the Institution have annually recurring 
license and maintenance costs. Increased funding is required to support license and 
maintenance fee increases that will come due in FY 2013. Maintenance fees are an 
essential part of protecting the Institution's IT investments. In addition to allowing the 
SI staff to request technical assistance from vendors, these fees also ensure that the 
Smithsonian's software and hardware (via firmware upgrades) remain efficient and 
safely operable in the face of emerging cyberspace threats. As the user base for 
Smithsonian systems increases, so must the number of licenses increase. The 
purchase of additional licenses allows the Institution to scale systems to meet the 
growing demand of the Smithsonian user community, and account for the greater 
numbers of employees who need protected network connections to telework. In a 
broader sense, maintaining these licenses is essential for the Institution to continue 
implementing the digitization strategic plan and thereby advance the goal of 
Broadening Access to the Smithsonian's National collections. 

OTHER SUPPORT (+$222,000) — An additional $222,000 is requested to offset 
the effects of inflation in other fixed costs. Justified here, but included in the 
Administration line item, is an increase to cover contractually required inflation costs 
for the annual audit of the Smithsonian's financial statements and personal property 
inventory (+$72,000). 

Also justified here, but included in the Smithsonian Institution Libraries' line 
item, is additional funding to adequately address inflationary increases in library 
subscriptions (+$150,000). This increase will enable the Smithsonian Institution 
Libraries to cover the extraordinary inflation costs in purchasing journals and 
electronic databases which are critical to support the Institution's many research 
programs. 



19 



20 



SUMMARY OF S&E PROGRAM INCREASES 



Program/Unit Changes 


$000s 




FY 2012 
Baseline 


FY 2013 
Increase 


Excellent Research (Grand Challenges) 


86,481 





Broadening Access 


78,603 


1,830 


• Digitization 


8,983 


1,500 


• Exhibit Maintenance 


16,391 


330 


Revitalizing Education 


17,700 





Strengthening Collections 


57,720 


2,300 


• Collections Care Initiatives 


5,460 


1.400 


• Animal Welfare 


6,372 


900 


Mission Enabling 


395,008 


3,253 


• Facilities Maintenance 


70,690 


650 


• Facilities Operations and Support 


117,925 


1,470 


• Internal Controls 


25,602 


522 


• Employee Training 


3,500 


450 


• Diversity 


1,331 


161 








National Museum of African American 
History and Culture (S&E) 


[13,415] 


13,000 








Total S&E 


$635,512 


$20,383 



Note: Above program category baselines support the FY 2013 increase items. For a complete list of 
program categories, see page 29. The NMAAHC baseline number ($13,415K) is a non-add to the 
total S&E number ($635,51 2K). The NMAAHC baseline number is included in each of the above 
major program categories. 

EXCELLENT RESEARCH (GRAND CHALLENGES) 

The Smithsonian's Strategic Plan for 2010-2015 articulates four Grand Challenges 
that provide an overarching strategic framework for Smithsonian programs and operations. 
The four Grand Challenges are: 

• Unlocking the Mysteries of the Universe 

• Understanding and Sustaining a Biodiverse Planet 

• Valuing World Cultures 

• Understanding the American Experience 



Meeting these Grand Challenges will allow the Smithsonian to integrate the work of 
many disciplines within its museums and research centers, as well as broaden the 
Institution's external collaborations. The challenges are grounded in research and 
emphasize complementary education and outreach programs. Together, they will 
influence how the Smithsonian directs its resources and focuses its energies. 

21 



The Institution has established consortia in each Grand Challenge area to fuse and 
optimize efforts across the Institution and coordinate work with our research partners to 
ensure that our combined efforts have the maximum effect. The consortia will also aid the 
Institution in attracting new funds for these efforts. However, all research will continue to 
be conducted by our existing museums and research centers. Although no specific Grand 
Challenge increases are requested for FY 2013, the Institution will continue advancing the 
Strategic Plan with the increases appropriated in FYs 201 1 and 2012. 

BROADENING ACCESS 

Digitization (+$1,500,000, +2 FTEs) 

One of the key components of the Institution's Strategic Plan is to broaden access to 
the Smithsonian's collections, exhibitions, and outreach programs. The Institution will 
accomplish this goal by using new media and social networking tools to deliver information 
in customized ways that bring the Smithsonian's immense resources to audiences who 
cannot visit the museums and research centers in person. Digitizing the collections and 
making them accessible online are major Strategic Plan priorities. The increases 
highlighted below will assist in achieving this Smithsonian priority. Details on each of the 
increases are located in the Office of the Chief Information Officer section. 



Items 


$(000) 


FTEs 


Digitization Program Office 


500 





Storage and Backup 


250 





Digitization Asset Management 


155 


1 


Research and Scientific Data Support 


140 


1 


SharePoint Project Support 


200 





Web Services Support 


100 





Enterprise Digital Asset Network Support 


155 





Total 


$1,500 


2 



Exhibit Maintenance (+$330,000) 

Smithsonian museums have a long tradition of raising private funds to design and 
install new exhibitions. For generations, these exhibitions have been the reason why millions 
of visitors have come to the National Mall. However, the very success of these exhibitions 
brings commensurate costs. The mere presence of record numbers of visitors results in 
increased wear and tear on the displays within the halls, and increases the cost to maintain 
them. In addition, the increasingly interactive nature of today's exhibits increases 
maintenance needs. The requested budget increase will ensure that the museums' 
exhibitions are clean and in good repair, and that the media components are fully 
operational and up to date. Specifically, funding would be provided to the National Museum 
of American History (+$100,000), the National Museum of Natural History (+$130,000), and 
the National Air and Space Museum (+$100,000). Details about these funding requests are 
included in each museum's narrative. 



22 



STRENGTHENING COLLECTIONS 
Collections Care Initiatives (+$1,400,000) 

Collections stewardship is a key component and core priority of the Smithsonian's 
Strategic Plan. Obtained over 166 years, Smithsonian collections are fundamental to 
carrying out the Institution's mission and Grand Challenges. As such, the collections serve 
as the intellectual basis for scholarship, discovery, exhibition, and education. As 
recognized by the America COMPETES Act reauthorization, the proper management, 
documentation, preservation, and accessibility of collections are critical to the nation's 
research and education infrastructure, enabling researchers to address significant 
challenges facing society in the form of effects of global change, the spread of invasive 
species, and the loss of biological diversity and its impact on the global ecosystem. The 
Institution must substantially improve collections care to ensure that Smithsonian 
collections remain available for current and future use. The volume, characteristics, 
complexity, and age of Smithsonian collections, as well as the variety of discipline-specific 
standards that apply to their care, make their management as unprecedented, challenging, 
and complex as the collections themselves. 

This request directly supports the Smithsonian's Strategic Plan to continually 
improve the quality of collections preservation, storage space, management, information 
content, and physical and electronic access, while leveraging resources to support 
Institution-wide initiatives that strategically address Smithsonian collections care. 
Collections care funding also directly supports the Smithsonian's overarching goal of 
improving the preservation of and accessibility to the collections which are vital to current 
and future scholarly research, education, and the nation's scientific endeavors. 

The increase requested provides resources to implement an Institution-wide 
collections assessment program, address Smithsonian Inspector General (IG) collections- 
related audit recommendations, and improve the preservation, storage, and accessibility of 
collections currently at risk of loss or damage. Details are provided in the Institution-wide 
Programs section. 



Items 


$000 


Address IG-ldentified Deficiencies 


500 


Preservation and Accessibility 


500 


Storage Equipment 


400 


Total 


$1,400 



Animal Welfare (+$900,000) 

This budget request provides resources to support the welfare of the Smithsonian's 
living collection. Excellence in animal care is paramount for maintaining the Zoo's 
accreditation by the Association of Zoos and Aquariums (AZA), as well as for maintaining 
compliance with the Animal Welfare Act. The requested increase of $900,000 supports 
animal nutrition (+$200,000); increasing health care costs (+$200,000); and necessary 



23 



supplies, as well as costs incurred from operations, staff training, and transportation costs 
(+$500,000). Details are provided in the National Zoological Park section. 

MISSION ENABLING 

Facilities Maintenance (+$650,000, +1 FTE) 

For FY 2013, the Smithsonian requests an increase of 1 FTE and $650,000 to enable 
its maintenance program staff to continue stabilizing and standardizing the overall condition 
of its facilities. This funding is critical to provide the maintenance required to keep facility 
systems performing in accordance with their mandated design criteria. The increase will 
support collection storage maintenance by providing dedicated collection storage areas for 
the Institution's national collections. The increase will also improve the Institution's electronic 
security maintenance to detect and replace failing or old equipment and will enable the staff 
to react to emergencies in a timely manner. The following chart summarizes the 
maintenance requirements and the increase is included in the Facilities Maintenance 
section. 



Category 


Amount (000s) 


FTEs 


Collection Storage Maintenance 


250 





Electronic Security Maintenance 


400 


1 


Total 


$650 


1 



Facilities Operations and Support (+$1,470,000, +1 FTE) 

For FY 2013, the Smithsonian requests an increase of 1 FTE and $1,470,000 to 
address high-priority operating, safety, and security requirements. The increase supports 
critical maintenance requirements for the Institution's vehicle and boat program that is vital 
to conduct important scientific research. The increase also supports mandated 
background investigations, required safety support services, and the establishment of a 
branch to oversee critical projects. The following chart summarizes the operations 
requirements and the increase is included in the Facilities Operations and Support section. 



Category 


Amount (000s) 


FTEs 


Fleet Management Program 


750 


1 


Mandated Background Investigations 


440 





Safety Program 


180 





Requirements Branch 


100 




Total 


$1,470 


1 



Internal Controls (+$522,000, +3 FTEs) 



The Smithsonian is improving its governance and financial internal controls, and the 
Institution is gaining congressional support in areas which were specifically noted by the 
Independent Review Committee (IRC). The additional positions (2 FTEs, $272,000) for the 
Office of the Comptroller will support the continued elimination of internal control 
deficiencies identified by the IRC, as reflected in the Board of Regents' governance reform 

24 



recommendations, and validated by a consultant-supported assessment that highlighted 
these critical weaknesses. The requested funds will provide critical resources to improve 
external financial reporting. Specifically, these positions will develop financial management 
policy/procedure documentation, design and conduct financial management training, and 
plan and conduct policy compliance monitoring and internal control validation and testing. 
Details of increase are included in the Administration section. 

The Institution is also requesting $250,000 and 1 FTE to convert the Inspector 
General (IG) position to a federally funded job. The Board of Regents determined that the 
duties and responsibilities of the IG are primarily federal in nature and the position should 
therefore be funded with federal resources and be consistent with federal agencies. This 
requested increase is included in the Office of the Inspector General section. 

Training (+$450,000) 

This funding supports a comprehensive, centrally funded, mandated training 
program which includes initial and follow-up supervisor training with the myriad rules, 
regulations, and policies involved in employee supervision. By having a centralized 
training fund, the Institution will ensure compliance with federal regulations, increase 
employee engagement, and mitigate costs resulting from untrained supervisors and 
leaders. The details of this increase to the Office of Human Resources are included in the 
Administration section. 

Diversity (+$161,000, +1 FTE) 

Diversity is one of the expressed values in the Smithsonian Strategic Plan. In 
support of that value, supplier diversity is an organizational goal included in every 
manager and procurement official's performance plan, as well as a matter of Institution 
policy. The Office of Equal Employment and Minority Affairs' (OEEMA) Supplier Diversity 
Program advocates for the use of small disadvantaged businesses in the Smithsonian's 
procurement and contracting operations. This program was established to demonstrate 
support for and commitment to the Smithsonian's use of small, disadvantaged, women- 
and veteran-owned businesses in Smithsonian operations. 

Current staffing for the Supplier Diversity Program consists of one employee who 
serves as the lone program manager and staff. This increase (+$161,000 and 1 FTE) will 
support the Supplier Diversity Program more effectively and efficiently with a permanent 
position and programming funds. This additional funding would support Smithsonian units 
in the development of unit annual procurement plans, small business participation goals, 
and timely preparation of the Smithsonian Forecast of Procurement Opportunities. The 
requested funds would also assist in developing and implementing small business and 
minority-owned small business outreach plans and initiatives in order to brand the 
Smithsonian to the small and minority-owned business communities. Details of increase 
are included in the Administration section. 



25 



National Museum of African American History and Culture (+$13,000,000, 
+30 FTEs) 

The National Museum of African American History and Culture (NMAAHC) has 
strategically planned for needed Federal support by addressing all its requirements — 
construction, staffing, and operation — until the Museum's opening as the Smithsonian 
Institution's newest museum on the Mall. As the Museum moves ahead with plans and 
operations geared toward opening in three years, it is crucial that the required resources 
are fully provided to support the professional and technical expertise needed for all 
aspects of this project. It is equally important to leverage the contributions of potential 
donors (e.g., collections, in-kind services, and funding), which include NMAAHC's ability to 
cultivate relationships while securing a firm financial base of private funding. This will 
continue the momentum essential to the private-sector fundraising campaign. 

Up to this point, NMAAHC has been cognizant of the constrained economic 
environment of the last several years and has been conservative in its budgetary requests. 
However, given that the Museum is three years away from opening its physical building to 
an eagerly waiting public, it is crucial that the Museum begin ramping up its programmatic 
and staffing requests to meet scheduling deadlines. Therefore, NMAAHC requests an 
increase of $13,000,000 and 30 FTEs in FY 2013. Details of the increases are in 
NMAAHC's narrative section. 



26 



NO-YEAR FUNDING — The following table provides the FY 2012 and FY 2013 
Salaries and Expenses request for No-Year Funding. 

No-Year Funding Request 

(Dollars in Thousands) 



Salaries and Expenses 


FY 2012 Level 


FY 2013 Request 


No-Year Funds 






National Museum of African 
American History and Culture 


13,415 


26,496 


National Museum of Natural History 






Exhibition Reinstallation 


1,000 


1,000 


Repatriation Program 


1,415 


1,424 


Major Scientific Instrumentation 


3,816 


3,822 


Collections Acquisition 


459 


459 


Total, No-Year 


$20,105 


$33,201 



OBJECT CLASS — The following table provides an object class breakout of resources for 
the Salaries and Expenses account. 

Object Class Request 

(Dollars in Millions) 



Salaries and Expenses 


FY 2012 Level 


FY 2013 Request 


Salaries and Benefits 


409 


417 


Travel and Transportation 


5 


5 


Rent, Utilities, Communications, 
and Other 


82 


83 


Other Services 


104 


118 


Supplies and Materials 


17 


18 


Equipment 


19 


19 


Total 


$636 


$660 



27 



FEDERAL RESOURCE SUMMARY BY PERFORMANCE OBJECTIVE AND 

PROGRAM CATEGORY 

The Smithsonian has developed its FY 2013 budget request by reviewing 
all resources, both base amounts and identified increases or decreases, in 
relation to the Institution's performance plan and Strategic Plan. In the sections 
that follow, detailed justifications are provided for all funding and FTEs by the 
Institution's strategic goals and by performance objectives under each goal. 

The Institution's program performance goals and objectives were aligned 
with the program categories used in the federal budget and the Institution's 
financial accounting system. This enables the Institution to more clearly 
demonstrate the relationship between dollars budgeted and results achieved. 

The following table summarizes the Institution's FY 2012 and FY 2013 
Salaries and Expenses estimates and the proposed changes by strategic goal, 
performance objective, and program category. 



28 



Federal Resources by Performance Objective and Program Category 

Salaries and Expenses ($ in thousands) 



Performance Objective/Program Category 


FY 2012 


FY 2013 


Change 


FTEs 


$000 


FTEs 


$000 


FTEs 


$000 


Excellent Research 














Research 














Engage in research and discovery 


432 


69,718 


434 


70,356 


2 


638 


Ensure the advancement of knowledge in the 
humanities 


115 


16,763 


113 


17,445 


-2 


682 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


63 


8,983 


67 


10,889 


4 


1 w 


Public Programs 














Provide reference services and information 


143 


16,332 


143 


16,438 





106 


Exhibitions 














Offer compelling, first-class exhibitions 


420 


53,288 


421 


55,008 


1 


1,720 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


154 


17,700 


160 


18,816 


6 


1,116 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


436 


57,720 


452 


62,965 


16 


5,245 


Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient operation 
of Smithsonian facilities 


676 


131,069 


677 


136,975 


1 


5,906 


Implement an aggressive and professional 
maintenance program 


358 


70,690 


359 


71,618 


1 


928 


Execute an aggressive, long-range revitalization 
program and limited construction of new facilities 


1 


791 


1 


791 








Security and Safety 














Provide world-class protection for Smithsonian 
facilities, collections, staff, visitors, and volunteers 


736 


63,447 


736 


64,182 





735 


Provide a safe and healthy environment 


47 


7,208 


47 


7,425 





217 


Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


144 


54,313 


144 


55,491 





1,178 


Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


176 


22,995 


177 


23,684 


1 


689 


Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


101 


16,629 


102 


17,077 


1 


448 


Modernize the Institution's financial management and 
accounting operations 


90 


14,513 


92 


15,024 


2 


511 


Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and 
with federal, state, and local governments 


38 


4,353 


38 


4,403 





50 


Modernize and streamline the Institution's acquisitions 
management operations 


56 


7,226 


59 


7,496 


3 


270 


Ensuring Financial Strength 














Secure the financial resources needed to carry out 
Institution's mission 


9 


1,774 


11 


4,250 


2 


2,476 
















TOTAL 


4,195 


635,512 


4,233 


660,333 


38 


24,821 



29 



GRAND CHALLENGES AND INTERDISCIPLINARY RESEARCH 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 





1,300 











851 








FY 2012 
ESTIMATE 


10 


3,246 











147 








FY 2013 
ESTIMATE 


10 


3,254 











147 









STRATEGIC GOAL: EXCELLENT RESEARCH 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


4 


2,147 


4 


2,153 





6 


Ensure the advancement of knowledge in the 
humanities 


6 


1,099 


6 


1,101 





2 


Total 


10 


3,246 


10 


3,254 





8 



BACKGROUND AND CONTEXT 

The Smithsonian's Strategic Plan for 2010-2015 articulates four Grand 
Challenges that provide an overarching strategic framework for Smithsonian 
programs and operations. Meeting these challenges will enable the Institution to 
integrate the work of many disciplines within the Smithsonian museums and 
research centers, as well as broaden our external collaborations. The challenges 
are grounded in research and emphasize complementary education and 
outreach programs; together, they influence how the Smithsonian directs its 
resources and focuses its energies. The Smithsonian has developed and 
implemented a Grand Challenges Awards initiative to advance cross-disciplinary, 
integrated scholarly efforts across the Institution that relate to one or more of the 
four Grand Challenges. Using a competitive internal process, the Smithsonian is 
distributing externally raised grant funds designated for the purpose of advancing 
research, broadening access, revitalizing education, and encouraging new ways 
of thinking that involve emerging technology. The grant funding may also help to 
leverage additional funding, both internal and external, thereby amplifying the 
scope and breadth of cross-cutting research initiatives. The Smithsonian uses 
the Grand Challenges to present the high-level view in the budget; funds are 



30 



distributed through interdisciplinary consortia, but most of the actual expenditures 
are made by existing Smithsonian units. 

The Smithsonian created interdisciplinary consortia around each of the four 
Grand Challenges to leverage the scholarship and experience that reside in each 
field of knowledge. These consortia, which can be virtual as well as physical, spark 
innovative research and educational programs, as well as broker partnerships with 
private and public entities that support these goals. In addition, the Smithsonian will 
fortify existing external relationships and forge new ones as potential collaborators 
emerge in priority areas. These consortia are not new programmatic units, but work 
through existing museums and research centers to facilitate innovative scholarship 
and outreach. 

The four Grand Challenges are: 

• Unlocking the Mysteries of the Universe 

• Understanding and Sustaining a Biodiverse Planet 

• Valuing World Cultures 

• Understanding the American Experience 

There are no programmatic increases requested in FY 2013. The 
Institution will continue to advance the prior-year research funding in the four 
Grand Challenges. For FY 2013, the budget estimate includes an increase of 
$8,000 for necessary pay for existing staff funded under this line item. Below is a 
summary of the FY 201 3 Consortia. 



Consortium 


FTEs 


$000s 


Universe 


1 


300 


Biodiversity 


3 


1,853 


World Culture 


2 


300 


American Experience 


4 


801 


Total 


10 


$3,254 



31 



Introduction, Unlocking the Mysteries of the Universe 

The Smithsonian will continue to lead in the quest to 
understand the fundamental nature of the cosmos, using next- 
generation technologies to explore our own solar system, meteorites, 
the Earth's geological past and present, and the paleontological 
record of our planet. 

RESEARCH Goal: The Smithsonian will continue to advance 
knowledge at the forefront of understanding the universe and the 
solid Earth. 

ACCESS Goal: Inspire people to probe the mysteries of the 
universe and planetary systems. 

UNITS primarily associated with this Grand Challenge: 

• National Air and Space Museum 

• Smithsonian Astrophysical Observatory 

• Major Scientific Instrumentation 



32 



NATIONAL AIR AND SPACE MUSEUM 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOV'T GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


160 


18,359 


41 


4,521 


22 


3,838 


5 


986 


FY 2012 
ESTIMATE 


161 


18,217 


38 


5,604 


24 


5,204 


6 


1,041 


FY 2013 
ESTIMATE 


161 


18,417 


38 


5,604 


24 


5,204 


6 


1,041 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


3 


1,124 


3 


1,124 








Ensure the advancement of knowledge in the 
humanities 


25 


3,107 


25 


3,042 





-65 


Broadening Access 














Public Programs 














Provide reference services and information 


6 


880 


6 


880 








Exhibitions 














Offer compelling, first-class exhibitions 


40 


5,478 


40 


5,578 





100 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


12 


1,292 


12 


1,292 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


47 


2,852 


47 


2,946 





94 


Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


9 


1,043 


9 


1,043 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


19 


2,441 


19 


2,512 





71 


Total 


161 


18,217 


161 


18,417 





200 



33 



BACKGROUND AND CONTEXT 

The mission of the National Air and Space Museum (NASM) is to commemorate 
the development of aviation and space flight, and educate and inspire the nation by: 

• preserving and displaying aeronautical and space flight equipment and data 
of historical interest and significance to the progress of aviation and space 
flight; 

• developing educational materials and conducting programs to increase the 
public's understanding of, and involvement in, the development of aviation 
and space flight; and 

• conducting and disseminating new research in the study of aviation and 
space flight and their related technologies. 

NASM is administered as one Museum with multiple locations: the National 
Mall building; the Udvar-Hazy Center; and the Garber Facility. NASM provides 
access to the nation's aviation and space flight history to an average of 7-9 million 
on-site visitors from around the world per year, making it one of the most visited 
museums in the world. In addition, NASM draws tens of millions of virtual visitors to 
its website and broadcast and webcast educational programming. 

In FY 2013, NASM will collect and preserve the nation's aviation and space 
heritage, perform the necessary research for exhibits and the increase of knowledge 
about the solar system, and enhance educational programs, using a mixture of in- 
house and its many volunteer resources to convey excitement and information to 
diverse audiences. 

For FY 2013, the budget estimate includes $100,000 for necessary pay and 
other related salary costs for existing staff funded under this line item, and a 
program increase of $100,000 for exhibit maintenance. 

MEANS AND STRATEGY 

Public Engagement — NASM continues to reach diverse audiences through 
exhibitions, Museum programming, and electronic outreach. The exhibitions 
incorporate written labels, interactive devices, and programming elements that appeal 
to a wide range of ages and interests. Based on the success of the newly renovated 
Pioneers of Flight exhibition, future plans for all galleries will include components that 
are physically and intellectually accessible to the Museum's youngest visitors, ages 
3-8. To illustrate complex concepts, exhibitions will continue to build on past success 
by using mechanical and computer interactive devices, which are appealing to most 
visitors but especially to school-age children and their families. 

To further enhance visitors' experiences, NASM staff and volunteers will 
continue to provide a variety of Museum programs, from daily activities, such as the 
docent-led tours and science demonstrations that reach hundreds of thousands of 
visitors annually, to big family day events that can reach 10,000 to 50,000 visitors in a 
single day, such as the Become a Pilot Family Day. NASM programs will continue to 

34 



encourage visitors, especially school groups, to use the Museum's collections and 
experts to support life-long learning. NASM will seek to replicate the National Mall 
building's Early Childhood Education Program and the student Explainers Program at 
the Udvar-Hazy Center by FY 2013. The astronomy programs, which include the 
Public Observatory and educational programming in the planetarium, will remain an 
important component of STEM (science, technology, engineering, and mathematics) 
education during FY 2013. 

Electronic outreach continues to provide significant opportunities to engage 
new virtual audiences around the world, including those who may never be able to 
visit the Museum in person. In this arena, NASM has successfully used a variety of 
social media. FY 2012 and the future should see a growth in social media as well as 
an increase in mobile technology use. NASM continues to work with partners to 
produce and provide educational broadcast programming to educators and students 
across the nation, and to archive the programs for future use. Production and 
dissemination of video will increase as it becomes easier and less expensive to create 
and access. 

FY 201 1 — In November 2010, the Barron Hilton Pioneers of Flight gallery 
opened to the public. A traveling version of the Black Wings unit in Pioneers of Flight 
was produced by Smithsonian Institution Traveling Exhibition Service (SITES) and 
reserved by several venues. A month later, Pioneers of Human Spaceflight, a 
temporary exhibit created by George Washington University graduate students for a 
course in exhibition design, was installed in the Museum's west end gallery. In March 
2011, another installation, 50 Years of Human Spaceflight, opened in NASM's Space 
Hall. In May 201 1 , NASA Art: 50 Years of Exploration opened in NASM's Flight and 
the Arts gallery, attracting a great deal of positive media attention and bringing new 
audiences to the Museum. Work continued on two additional major installations, Stage 
2 of Moving Beyond Earth and the Time and Navigation exhibition. 

FY 2012 — Exhibition installations continued with the November 201 1 opening 
of AirCraft: the Jet as Art in gallery 104, featuring 33 super-sized photographs by pilot/ 
photographer Jeffrey Milstein. Fly Marines! The Centennial of Marine Corps Aviation 
1912-2012 opened in the Flight and the Arts gallery in January 2012. Both are one- 
year exhibitions. The Moving Beyond Earth gallery will be completed in FY 2012, 
engaging audiences with its many hands-on and computer interactive activities and 
providing the Museum with educational broadcast capabilities from the gallery itself. In 
addition, NASM has started construction on the Time and Navigation exhibition, and 
begun concept planning for a complete redesign of the Apollo to the Moon gallery. 
Two temporary exhibits by George Washington University graduate students have 
opened, and the new interactive website for How Things Fly, the Museum's very 
popular hands-on exhibition, launched in January 2012. 

In April 2012, space shuttle Discovery will make its final voyage to its new 
home at the Museum's Udvar-Hazy Center. The Smithsonian celebration will include a 
salute to Discovery and Enterprise, the shuttle on display since 2004, which will now 
move to the Intrepid Sea/Air/Space Museum in New York City. Discovery is the most 
historic spacecraft of the remaining shuttles, with a history of more than 30 years. 

35 



In FY 2013, NASM will continue to inspire and educate audiences at the National 
Mall Building and the Udvar-Hazy Center through new and updated exhibitions. Time 
and Navigation will open to the public. In June 2012, Suited for Space, a SITES 
exhibition based on x-ray photographs of NASM's space suit collection, will open in the 
Flight and the Arts gallery, and Airport Towers, images by NASM photographer Carolyn 
Russo, will open in gallery 104. Planning and design will begin for Exploration Images, 
scheduled to open in February 2014. Work on Apollo to the Moon will continue with 
concept planning, gallery layout and design, and the writing of the exhibit script, with a 
planned opening date of 2016. NASM will also explore new ways to enhance and 
expand the observatory's programming possibilities. The Museum will continue to 
expand its integrated website and on-site visitor information capabilities. These features 
enable visitors to plan their visit on the Web, and to customize their Museum experience 
— from pre-visit planning, to on-site Museum tours, to post-visit learning. 

Aircraft and spacecraft will continue to be moved into the Udvar-Hazy Center as 
a part of the year-long effort of restoration and relocation, and an interactive exhibition 
will be developed to interpret the new Mary Baker Engen Restoration Hangar. 

Collections — In early FY 201 1 , construction was completed on the Museum's 
Steven F. Udvar-Hazy Center. The complex now includes the Museum's new 
conservation and restoration hangar and collections storage areas. The traditionally 
high level of craftsmanship shown in the NASM restoration program now will be 
matched by first-class facilities that can handle the various types of objects and 
materials that the Museum manages. Preparations continue for the move of the 
collections and restoration/conservation activities from the Paul E. Garber facility in 
Suitland, Maryland, to the Udvar-Hazy Center in Northern Virginia, and will continue in 
FY 2013 and beyond. NASM will continue its loan program, which encompasses more 
than 1,300 aviation and space artifacts, including some of the most sought-after 
artifacts of the last century: spacesuits and lunar spacecraft. 

NASM will make information on its collections available to the public by 
continuing to migrate collections information to a publicly accessible website. The 
curatorial databases contain extensive information on the history and provenance of 
each artifact, and the best way to offer more of this in-depth information to the public is 
through electronic means. NASM's electronic resources allow more people access to 
the Museum's archival collections, with a resulting increase in archival information 
requests by the public. To move this electronic outreach activity forward efficiently and 
effectively, in FY 201 1 NASM completed its digitization strategic plan, in alignment with 
the overall Smithsonian digitization plan released in 2010. 

Scientific Research — To achieve the strategic goal of Excellent Research, 
NASM's Center for Earth and Planetary Studies conducts basic research related to 
planetary exploration, with an emphasis on Mars and the moon, and curates galleries 
and public offerings in the space sciences. NASM scientists continue to work as 
members of the science teams for the Mars Exploration Rover, Mars Express, Mars 
Reconnaissance Orbiter, Lunar Reconnaissance Orbiter, Mars Science Laboratory, 
and MESSENGER missions. NASM scientists work with the data from these and other 
missions to solar system bodies, and seek to convey this exciting information to the 

36 



public. Basic research continues to concentrate on the National Research Council and 
the National Aeronautics and Space Administration (NASA) priorities to determine the 
origin of solar system bodies and habitable planets, with an emphasis on 
understanding the past climate of Mars and publishing the results of this research in 
the scientific literature. 

Historical Research — NASM will continue to lead in the field of flight history by 
publishing books and papers, and by making presentations at professional conferences 
on the history of aerospace technology, aviation, aerodynamics, space flight, and space 
sciences. Based on their research and expertise, the curatorial staff will continue to 
evaluate potential acquisitions for the national collections and respond to numerous 
public inquiries. NASM will also continue to upgrade exhibits dealing with aviation and 
space flight, thereby ensuring that current materials are available to the public. 

Management — To achieve the Mission Enabling strategic goal, NASM has 
developed a single infrastructure to support the National Mall building, the Udvar-Hazy 
Center, and the Garber facility. NASM relies on contracted facilities management and 
parking for the Udvar-Hazy Center. NASM has found its contractor solutions in these 
two areas to be a workable alternative for operating at a remote site where central 
Smithsonian support services are unavailable. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget estimate includes an increase of $200,000. This 
increase includes $100,000 for necessary pay and related salary costs for existing 
staff and $100,000 for exhibition maintenance. Details on the exhibit maintenance 
increase follows: 

• The $100,000 for exhibit maintenance will ensure that the Museum's exhibitions 
are clean and in good repair, and that the media components are fully 
operational and up to date. The Museum has a long tradition of raising private 
funds to design and install new exhibitions. For more than a generation, these 
exhibitions have been the reason why millions of visitors come to the Museum. 
However, the very success of these exhibitions brings commensurate costs. 
The mere presence of record numbers of visitors results in increased wear and 
tear to displays within the halls, and increases the cost to maintain them. In 
addition, the increasingly interactive nature of today's exhibits increases 
maintenance needs. Specifically, the Museum will replace worn and dirty carpet 
and improve exhibit lighting by replacing outdated lighting track and fixtures 
with LED fixtures. The LED fixtures last longer and use less power, resulting in 
significant energy savings and reduced manpower costs. 

NONAPPROPRIATED RESOURCES — General trust funds support research, 
education, exhibitions, and fund raising, including salaries and benefits. Donor/sponsor- 
designated funds support costs related to specific programs and projects. Fund raising 
is under way for future galleries and the endowment of public programs. Government 
grants and contracts support research and other scientific activities. 

37 



SMITHSONIAN ASTROPHYSICAL OBSERVATORY 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOV'T GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


108 


24,336 


91 


18,711 


12 


3,787 


228 


76,434 


FY 2012 
ESTIMATE 


106 


23,997 


101 


22,625 


17 


3,513 


229 


70,702 


FY 2013 
ESTIMATE 


106 


24,101 


101 


22,625 


17 


3,513 


229 


70,702 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 

AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 


■ 












Research 














Engage in research and discovery 


97 


22,045 


97 


22,142 





97 


Broadening Access 














Public Programs 














Provide reference services and information 


4 


550 


4 


552 





2 


Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 





502 





502 








Management Operations 














Ensure that the workforce is efficient, collaborative, 
committed, innovative, and diverse 


5 


900 


5 


905 





5 


Total 


106 


23,997 


106 


24,101 





104 



BACKGROUND AND CONTEXT 



The mission of the Smithsonian Astrophysical Observatory (SAO) is to advance 
the public's knowledge and understanding of the universe through research and 
education in astronomy and astrophysics. The secondary mission is to be of service to 
the national and international astronomical communities, and to society in general, in 
areas associated with our primary mission. The Observatory has a strong record of 
achievement in developing and successfully implementing large, complex, and innovative 
observational and theoretical research projects. SAO also supports the investigative 
research carried out by individual researchers and small groups. These varied activities 
create the distinctively fertile research environment that drives SAO's success. 

38 



SAO's work directly supports the first of the Grand Challenges outlined in the 
Smithsonian's Strategic Plan: Unlocking the Mysteries of the Universe. The goal calls 
for the Smithsonian to "advance knowledge at the forefront of understanding the 
universe and solid Earth." 

Founded in 1890, SAO is the largest and most diverse astrophysical research 
institution in the world. SAO has helped develop some of the world's most 
sophisticated astronomical instruments, with high resolution at wavelengths across the 
electromagnetic spectrum, to probe the universe. Alone, and in powerful partnerships 
with the National Science Foundation (NSF), the National Aeronautics and Space 
Administration (NASA), and the Department of Energy, it has pioneered the 
development of orbiting observatories and large, ground-based telescopes; the 
application of computers to study astrophysical problems; and the integration of 
laboratory measurements and theoretical astrophysics. Observational data are 
gathered at SAO's premier facilities: the Submillimeter Array (SMA) in Hawaii; the 6.5- 
meter diameter Multiple Mirror Telescope (MMT), the Very Energetic Radiation 
Imaging Telescope Array System (VERITAS), and related telescopes at the Fred 
Lawrence Whipple Observatory in Arizona; a broad range of powerful instruments 
aboard rockets, balloons, and spacecraft (most notably the Chandra X-ray 
Observatory, the Spitzer Space Telescope, the Hinode telescope, and the Solar 
Dynamics Observatory); and locations as diverse as the high plateaus of northern 
Chile and the Amundsen South Pole Station. Headquartered in Cambridge, 
Massachusetts, SAO collaborates with the Harvard College Observatory to form the 
Harvard-Smithsonian Center for Astrophysics. 

During the past 50 years, SAO astronomers and their colleagues have made 
revolutionary discoveries that have changed our fundamental understanding of the 
universe and our place in it. We have discovered and examined planets in orbits 
around other stars, watched as new stars are born, and discovered bizarre remnants 
of dead stars that emit vast quantities of x-rays. We have determined that the universe 
is 13.7 billion years old, and that it is populated with billions of galaxies, many of which 
have supermassive black holes at their centers. In addition, we have found convincing 
evidence that most of the matter in the universe is an unexpected mixture of some 
unseen "dark matter," with normal matter making up less than four percent of the total; 
and that the expansion of the universe is apparently accelerating, driven by a 
mysterious and invisible "dark energy." At the same time, SAO astronomers work 
systematically on the vital basic research that seeks to explain the sun and its x-ray- 
emitting corona, the nature of the solar system, the abundant elements in our Milky 
Way Galaxy, the gas and dust between the stars, the formation and evolution of 
galaxies, and other important questions about the nature of the universe. Today, SAO 
is taking a lead role in the science of "precision astronomy," using past discoveries 
and advanced technologies to produce a coherent story of the cosmos from the Big 
Bang to life here on Earth. 

SAO's research is unique and world renowned because of the strength and 
diversity of its observers, theorists, instrument developers, engineers, and laboratory 
experimentalists, and because SAO emphasizes multiple strategies that draw from the 

39 



strengths of both small projects and large research centers. Indeed, SAO's 
extraordinary research success is partly the result of the rich cross-fertilization that its 
outstanding scholars bring to each other in a climate that nurtures collaborative 
excellence. 

SAO's discoveries, and its research leadership, have placed SAO at the 
forefront of the cutting-edge facilities for the new generation of astronomers and 
astrophysicists. SAO's pre-eminence is underscored by the recognition that its 
scientists receive from leading scientific organizations. For instance, Dr. Margaret 
Geller has received the American Astronomical Society's highest honor, the Henry 
Norris Russell Lectureship. She is also the recipient of the National Academy's James 
Craig Watson Medal for distinguished contributions to astronomy. Dr. Geller has been 
elected to the National Academy of Science, the American Academy of Arts and 
Sciences, and the American Philosophical Society. Dr. Gaspar Bakos won the 2011 
Newton Lacy Pierce Prize of the American Astronomical Society, and Dr. Christine 
Jones was elected an Honorary Fellow of the Royal Astronomical Society. These are 
a subset of the many awards received by SAO staff in FY 201 1 and FY 201 2. 
Together with its partner, the Harvard College Observatory, SAO is the top choice of 
graduate- and postdoctoral-level young scientists. Federal support makes this 
continued leadership possible. 

For FY 2013, the budget estimate includes an increase of $104,000 for 
necessary pay and other related salary costs for existing staff funded under this line 
item. 

MEANS AND STRATEGY 

To achieve the goal of Excellent Research, SAO scientists will make optimal 
use of various astronomical facilities to support their research, including the ground- 
based optical and radio telescopes owned and operated by SAO in Arizona and 
Hawaii, and space-based telescopes, most notably the Chandra X-ray Observatory, 
which is operated by SAO on behalf of NASA, and NASA's Solar Dynamics 
Observatory. SAO scientists also have research privileges at the two 6.5-meter 
Magellan telescopes in northern Chile (because of SAO's partnership with the Harvard 
College Observatory). In addition, SAO scientists and engineers are leading the 
science operations team and carrying out a vital scientific research program in very 
high-energy astrophysics at the VERITAS telescope in southern Arizona. These 
facilities enable SAO scientists to make substantial progress in answering 
fundamental questions about the origin and nature of the universe, including dark 
energy and dark matter, as well as questions about the formation and evolution of 
Earth and similar planets. In addition, SAO scientists will continue their work on future 
space missions, collaborating with NASA and its research center on missions to study 
the sun, the x-ray universe, and the outer solar system. 

In FY 201 1 , the National Science Foundation awarded the title to the ALMA 
Vertex prototype Antenna (a state-of-the-art radio telescope with a 12-meter diameter 
dish) to SAO. SAO is working with its partners, the Academia Sinica, Institute of 

40 



Astronomy and Astrophysics, and the NSF's Division of Polar Programs, to develop a 
plan to deploy this instrument to Summit Station in Greenland. This northern location 
has unique advantages for examination of the supermassive black hole in the nearby 
galaxy M87. In FY 2012, SAO will complete the deployment plan, and in FY 2013 will 
deploy this powerful antenna at Summit Station, using resources largely provided by 
SAO's partners. 

SAO scientists will continue to take a leadership role in astrophysics by 
participating in or hosting national and international conferences (e.g., the American 
Astronomical Society, the International Astronomical Union, and the Astronomical 
Data Analysis Software and Systems conference series), by participating as keynote 
and/or invited speakers at such meetings, and by serving on a diverse range of 
astronomical and astrophysical review panels. SAO scientists will also continue to 
publish in leading peer-reviewed journals such as the Astrophysical Journal, the 
Astronomical Journal, and Astronomy & Astrophysics. SAO developed and operates 
the Astrophysics Data System, which is a world leader in the dissemination of 
scientific literature. 

SAO will achieve the goal of Broadening Access by producing and delivering 
educational services and products rooted in SAO research to meet the educational 
needs of SAO's audiences. This sustained outreach effort will give SAO increased 
publicity and recognition. 

The goal of Mission Enabling will be achieved by making SAO's information 
technology (IT) infrastructure robust, reliable, and secure; maintaining a cooperative 
environment through communication and activities that underscore SAO's special 
mission and each staff member's contribution to its success; evaluating management 
officials and supervisors on their compliance with applicable equal opportunity laws, 
rules, and regulations, and on the effectiveness of their efforts to achieve a diverse 
workforce; and facilitating the use of small, minority, women-owned, and other 
underused businesses in SAO's procurement and business relationships. These 
management tools will continue to support and enhance SAO's scientific and 
educational missions. 

NONAPPROPRIATED RESOURCES — General trust funds come primarily from 
overhead charged on grants and contracts. SAO uses these funds to support 
administrative functions approved in the Indirect Cost Budget submitted to the 
Defense Contract Audit Agency and the Office of Naval Research, as required by 
Office of Management and Budget Circular A-122, Cost Principles for Nonprofit 
Organizations. Donor/sponsor-designated funds come primarily from restricted gifts 
from individuals, foundations, and corporations, which are earmarked for particular 
purposes; restricted endowment funds; and non-governmental grants and contracts. 
Government grants and contracts come from Government agencies for research in 
areas of SAO's expertise. SAO often conducts this research in cooperation with 
governmental, academic, and research institutions in the United States and abroad. 



41 



MAJOR SCIENTIFIC INSTRUMENTATION 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 





3,814 




















FY 2012 
ESTIMATE 





3,816 




















FY 2013 
ESTIMATE 





3,822 





















STRATEGIC GOAL: EXCELLENT RESEARCH 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 





3,816 





3,822 





6 


Total 





3,816 





3,822 





6 



BACKGROUND AND CONTEXT 

Smithsonian science is engaged in research and discovery focused on the 
origin and evolution of the universe, the formation and evolution of Earth and 
similar planets, the discovery and understanding of biological diversity, and the 
study of human diversity and cultural change. 

The Smithsonian Astrophysical Observatory's (SAO) work directly 
supports the first of the Grand Challenges outlined in the Smithsonian Institution 
Strategic Plan: Unlocking the Mysteries of the Universe. This goal calls for the 
Smithsonian to "advance knowledge at the forefront of understanding the 
universe and solid Earth." 

To achieve the goal of Excellent Research, the Smithsonian uses its no- 
year funding from the Major Scientific Instrumentation (MSI) line item to develop 
large-scale instrumentation projects with advanced technologies that enable 
scientists at SAO to remain at the forefront of astronomy and astrophysics 
research. The Smithsonian's criteria for selecting and proposing MSI projects 
are: 1 ) the instrumentation will enable compelling scientific advances that would 
not otherwise occur (either at SAO or anywhere else in the world) for some time 



42 



to come; 2) the instrumentation is novel and technically advanced, and would not 
be developed without SAO's contribution; and 3) the science enabled by the 
innovative instruments is consistent with the Smithsonian Institution's Strategic 
Plan. The fundamental role for federal appropriations is to support the basic 
scientific infrastructure that enables SAO to conduct research, compete for 
external grants and funding, publish in peer-reviewed journals, and inform the 
public about the latest scientific discoveries in an exciting and compelling 
manner. Because of the magnitude of the costs and the time required to fabricate 
major new instruments and reconfigure existing ones, the Institution requests that 
MSI funds for these projects be kept available until they are spent. 

During the past 50 years, astronomers have made fundamental 
discoveries about the universe, such as the existence of more than 344 planets 
around nearby stars and the bizarre remnants of dead stars that emit large 
quantities of x-rays in the Milky Way Galaxy. Scientists have determined that the 
universe is 13.7 billion years old and that it is populated with billions of galaxies, 
many of which have super massive black holes at their centers. Research has 
produced strong evidence that the expansion of the universe has been 
accelerated by a mysterious and invisible "dark energy." Today, SAO scientists 
use advanced technologies to produce a coherent story of the cosmos from the 
Big Bang to the origins of life on Earth. MSI funds are essential to meet this 
objective. 

Two SAO projects are included in the FY 2013 MSI line item: the 
Submillimeter Telescope Array (SMA) on Mauna Kea, Hawaii, and 
instrumentation for the converted Multiple Mirror Telescope (MMT) at SAO's 
Fred L. Whipple Observatory at Mt. Hopkins, Arizona. 

For FY 2013, the budget estimate includes an increase of $6,000 for 
inflationary costs funded under this line item. 

MEANS AND STRATEGY 

SAO's mission is to engage in astrophysical research and discovery. 
Observational astrophysics is the basic science responsible for the 
understanding of the universe and its components beyond Earth. SAO has made 
leading contributions to many key discoveries in astrophysics, including: 1) the 
remarkable discovery that the universe is accelerating; 2) the discovery of 
enormous patterns traced by galaxies in the universe; 3) the most compelling 
demonstration of the existence of supermassive black holes at the centers of 
most galaxies; 4) the discovery of very high-energy gamma rays; 5) the most 
convincing observational evidence for the existence of dark matter; and 6) the 
discovery of planets orbiting other stars. SAO scientists contributed to these 
discoveries by using key facilities that enable observations in several different 
bands of the electromagnetic spectrum (i.e., the broad range of light that is 



43 



emitted by objects in the universe). These contributions have put SAO in the 
forefront of this generation of astronomers and astrophysicists. 

SAO's pre-eminence is underscored by the recognition that its scientists 
receive from leading scientific organizations. Dr. Margaret Geller received the 
American Astronomical Society's highest honor, the Henry Norris Russell 
Lectureship. She is also the recipient of the National Academy's James Craig 
Watson Medal for distinguished contributions to astronomy. Dr. Gaspar Bakos 
won the 201 1 Newton Lacy Pierce Prize of the American Astronomical Society, 
and Dr. Christine Jones was elected an Honorary Fellow of the Royal 
Astronomical Society. These are only three examples of nearly a dozen awards 
received by SAO staff in 201 and 201 1 . Together with its partner, the Harvard 
College Observatory, SAO is the top choice of graduate- and postdoctoral-level 
young scientists. Federal support makes this continued leadership possible. 

SAO's strength in observational astrophysics depends on its major 
ground-based facilities, the SMA and MMT, and the National Aeronautics and 
Space Administration's space-based facilities, including the Chandra X-ray 
Observatory, the Spitzer Space Telescope, and the Solar Dynamics Observatory. 
Access to both ground- and space-based observatories enables SAO scientists 
to conduct research that would be impossible with either type of observatory 
alone. SAO's future strength in ground-based observational astrophysics is 
critically dependent on equipping the SMA and MMT with powerful new 
instrumentation. This leadership depends on developing instruments and 
facilities that do not now exist. A team of talented scientists and engineers must 
work together, over a period of several years, to bring these tools into being with 
support from multi-year MSI funding. 

Submillimeter Telescope Array ($1,900,000) 

The SMA, a collaborative project of SAO and the Academia Sinica 
Institute of Astronomy and Astrophysics in Taiwan, is made up of eight 20-foot- 
diameter antennas located on the summit of Mauna Kea, Hawaii, which function 
as one giant telescope. This facility operates at higher frequencies than those of 
any other major radio telescope, enabling scientists to probe the formation of 
new planets around other stars in unprecedented detail. 

The SMA is now equipped with sets of receivers that can be tuned over 
the principal atmospheric windows in the submillimeter range, so future 
improvements to the SMA will be centered on improving the sensitivity within 
each of these observing windows. The feasibility of conducting a particular 
scientific observation with the SMA is directly linked to instrument sensitivity. 
Given that the total collecting area of the array antennas is fixed, sensitivity is 
governed by three factors: the receiver noise, the instantaneous system 
bandwidth, and atmospheric transmission and stability. 



44 



Further improvements to the SMA can be achieved by adding duplicate 
sets of receivers similar to those currently in operation, increasing receiver 
bandwidth, or further mitigating atmospheric instabilities, which result in loss of 
signal and poor image quality. Thanks to recent developments in microwave 
technology, it is now possible, with a modest development effort, to increase the 
receiver bandwidth by a factor of five over the original design. In the short term, 
this would enable the observation of multiple molecular species within a single 
receiver tuning; over the long term, by achieving a corresponding increase in 
signal processing capacity, the overall sensitivity of the SMA would be increased 
by the same factor. 

These upgrades will improve SMA observing speed by a factor of up to 25 
times the original capability for continuum observations and for spectral line 
surveys, thereby opening up the SMA to new discovery space. While the 
pioneering SMA observations to date have concentrated largely on the first high- 
resolution studies of individual objects, the proposed improvements will enable 
the SMA to start addressing important scientific questions that can be answered 
only with observations of large samples which allow for statistical conclusions, 
considering evolutionary and environmental factors. For example, to determine 
proto-planetary disk mass and lifetime as a function of stellar mass and 
multiplicity, and to assess the role of environmental factors such as proximity to 
massive stars and their harsh radiation fields, scientists will require the finest 
angular scale observations of dust continuum emission and molecular gas 
tracers from hundreds of young stellar systems in several nearby star-forming 
regions. Such large surveys will be feasible with increased SMA bandwidth. 

In FY 2012, MSI funds are being used to begin developing a wide-band 
signal processor to handle the increased bandwidth from each antenna. FY 2013 
funds are requested to complete and install the new wide-band signal processor. 

Multiple Mirror Telescope ($1,922,000) 

The MMT, a joint project of SAO and the University of Arizona, dedicated 
in 1979, was originally made up of six identical 1 .8-meter telescopes in a single 
altitude-azimuth (naval-gun-type) mount. The multiple-mirror design provided a 
state-of-the-art solution to the technological limitation in casting large mirrors at 
that time. Following advances in mirror-casting technology developed by the 
University of Arizona, in the 1990s SAO replaced the six smaller mirrors of the 
original MMT with a single mirror 6.5 meters in diameter. This large mirror more 
than doubled the light-gathering capability of the telescope, and a set of large 
corrector lenses increased its field of view some 400 times. 

The converted MMT is an extremely powerful telescope, but requires 
sophisticated instruments to analyze the light it collects. Binospec, an imaging 
spectrograph with dual 8'x15' fields of view, will replace two generations of earlier 



45 



spectrographs and is expected to become the dominant instrument used during 
dark moon phases. 

SAO expects Binospec to be a "game-changer," enabling the MMT to 
compete on an equal footing with the largest current telescopes in the world. 
Binospec's huge light grasp will enable SAO scientists to carry out pioneering 
explorations of the structure and evolution of galaxies, the structure of the Milky 
Way, and the nature of dark matter and dark energy. Binospec's nimbleness in 
moving between spectroscopy and imaging will enable Smithsonian scientists to 
lead in exploiting transient events like supernova explosions and gamma-ray 
bursts to map the geometry of the universe and accurately detect objects at the 
furthest reaches of the universe. The scientific opportunities opened by Binospec 
will help attract the critical next generation of astrophysicists who will exploit the 
power of the Giant Magellan Telescope in the next decades. 

In FY 2013, MSI support will be used to continue work on Binospec. With 
additional external support (in the form of committed National Science 
Foundation funds competed for in the Telescope System Implementation 
Program), Binospec will be completed early in FY 2014, when it will be shipped 
to the MMT for commissioning and its first research observations. SAO's 
expertise in building large and powerful instruments is a crucial capability in the 
era of extremely large telescopes that is now upon us. Continued MSI funding is 
essential to conduct this vital research. 



46 



Introduction, Understanding and Sustaining a Biodiverse Planet 

The Smithsonian will use the resources of its scientific 
museums and research centers to significantly advance our 
knowledge and understanding of life on Earth, respond to the growing 
threat of environmental change, and sustain human well-being. 

RESEARCH Goal: The Smithsonian advances and synthesizes 
knowledge that contributes to the survival of at-risk ecosystems. 

ACCESS Goal: The Smithsonian inspires all generations of 
learners to turn knowledge of life on Earth into awareness and action 
aimed at improving sustainability. 

UNITS primarily associated with this Grand Challenge: 

• National Museum of Natural History 

• National Zoological Park 

• Smithsonian Environmental Research Center 

• Smithsonian Tropical Research Institute 



47 



NATIONAL MUSEUM OF NATURAL HISTORY 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


355 


48,318 


18 


2,333 


51 


14,889 


12 


2,852 


FY 2012 
ESTIMATE 


358 


48,086 


20 


2,200 


62 


15,400 


13 


2,852 


FY 2013 

ESTIMATE 


358 


48,466 


20 


2,200 


62 


15,550 


13 


2,852 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


137 


17,870 


137 


17,964 





94 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


4 


511 


4 


513 





2 


Public Programs 














Provide reference services and information 


14 


1,801 


14 


1,810 





9 


Exhibitions 














Offer compelling, first-class exhibitions 


27 


4,523 


27 


4,677 





154 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


30 


3,670 


30 


3,689 





19 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


116 


15,101 


116 


15,180 





79 


Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient operation 
of Smithsonian facilities 


4 


870 


4 


874 





4 


Security and Safety 














Provide a safe and healthy environment 


1 


187 


1 


188 





1 


Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


15 


2,308 


15 


2,320 





12 



48 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


sooo 


Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


4 


594 


4 


597 





3 


Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and 
with federal, state, and local governments 


1 


106 


1 


107 





1 


Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


2 


194 


2 


195 





1 


Modernize the Institution's financial management and 
accounting operations 


3 


351 


3 


352 





1 


Total 


358 


48,086 


358 


48,466 





380 



BACKGROUND AND CONTEXT 

The mission of the National Museum of Natural History (NMNH) is to 
inspire curiosity, discovery, and learning about nature and culture through 
outstanding research, collections, exhibitions, and education. Building upon its 
unique and vast collections and associated data, field research stations, 
specialized laboratories, and internationally recognized team of staff scientists, 
research associates, federal agency partners, and Fellows, the Museum provides 
fundamental research information to a wide array of constituencies ranging from 
federal agencies to the public. The Museum's particular strengths are in all four 
of the following Smithsonian Grand Challenges: Unlocking the Mysteries of the 
Universe; Understanding and Sustaining a Biodiverse Planet; Valuing World 
Cultures; and Understanding the American Experience. The Museum's research 
provides new understanding and relevance to broader national and international 
scientific agendas, looking at such important societal issues as global change, 
biodiversity, cultural conflict, and natural hazards. 

The Museum's stewardship of its collections, making up more than 
126 million natural history specimens and human artifacts, is at the core of its 
mission. This set of collections, the largest of its kind, is an unparalleled resource 
for collections-based research on the diversity of life on Earth, including plants, 
animals, fossils, minerals, and human activity. These anthropological, biological, 
and geological specimens and objects are the foundation for all of the Museum's 
scientific products. With their unparalleled spatial breadth and temporal depth, 
the collections promote analyses and interpretations that enable scientists to 
connect observations of contemporary phenomena with the past and around the 
world so that we can better understand our planet and the effect of human 
activities on it. The Museum's collections capture the imagination and stimulate 
the next generation of scientists, and are important for the intellectual 
infrastructure and the Administration's continuing goal of competitiveness in 
international science and application of scientific knowledge. NMNH collections 
and their attendant information are a dynamic resource used by researchers, 
educators, and policy makers worldwide. 



49 



In addition, NMNH's collections serve as critical reference materials for 
U.S. Government agencies. These resources are actively and collaboratively 
used by staff members of the Departments of Defense, Commerce, Agriculture, 
and Interior, who are housed in NMNH facilities. For example, tens of thousands 
of insects urgently requiring identification are sent to NMNH from ports of entry 
each year. Scientists at the U.S. Department of Agriculture and NMNH consult 
the collections and rapidly provide identifications to border control agencies so 
that U.S. agricultural and economic interests are kept secure from damage by 
potential invasive species. The NMNH bird collections provide answers to the 
Federal Aviation Administration (FAA) and the U.S. Department of Defense, 
revealing the species of birds that damage aircraft, and leading to improved 
habitat control around airports and improved aircraft and engine design. The 
National Cancer Institute relies upon NMNH as a trusted repository for plant 
specimens that must be kept as vouchers for pharmacological and biomolecular 
research. Similarly, the U.S. Department of the Interior Bureau of Ocean Energy 
Management relies on the NMNH as a trusted repository for the ecologically 
significant invertebrate animals it collects in the course of its research. Meteorites 
collected from Antarctica are deposited at NMNH by the Johnson Space Center 
and the National Aeronautics and Space Administration (NASA). The Federal 
Bureau of Investigation benefits from the identifications and analyses conducted 
by experts in the Department of Anthropology, who consult the human skeletal 
collections when providing answers about the remains of crime victims. Analyses 
of the collections have provided vital clues regarding the spread of H5N1, the 
Avian Flu virus, and the etiology of past influenza epidemics. 

NMNH's first-class research supports its exhibitions and educational 
outreach. As one of the most visited museums in the world, NMNH provides 
diverse public audiences with presentations on every aspect of life on Earth. 
Through many affiliations and partnerships, the Museum takes its science and 
public programs beyond the National Mall to other museums and non-traditional 
exhibition venues, such as libraries, schools, and universities across the country. 
With a growing network of interactive websites, the Museum is transforming itself 
into a true electronic classroom, which is potentially accessible to everyone. 

For FY 2013, the budget estimate includes an increase of $250,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item and a program increase of $130,000 for exhibit maintenance. 

MEANS AND STRATEGY 

To achieve the goals of Broadening Access and Revitalizing Education, 
funding will be used to replace outdated exhibits with integrated, multi- 
disciplinary, and interactive exhibitions on the Mall and in other venues through 
traveling exhibits and electronic outreach across the country. Both the permanent 
and traveling exhibitions reflect best practices in visitor experience upgrades and 
informal science education, and these exhibits are developed as part of an array 



50 



of public outreach activities. In FY 201 1 , NMNH welcomed nearly seven million 
visitors, and recent evaluations show that exhibitions now engage visitors for 
longer periods than they did 10 years ago. The effectiveness of NMNH 
exhibitions and presentations can be seen in the excitement they generate and 
their popularity with family audiences. 

In FY 2013, NMNH will continue renovating its permanent exhibition halls. 
Pending donated funds, the Museum will continue the planning and concept 
design for a massive renovation of its 40,000-square-foot Paleontology Halls. 
This project requires removing and conserving thousands of paleontological 
specimens, including more than 50 complete dinosaurs; the specimens will then 
be remounted for display when the exhibit opens. In addition to these major 
projects, donated funding supports scientific updates and visitor experience 
upgrades throughout the Museum's 300,000 square feet of exhibition space. 

Planning for eight new temporary exhibits in FY 2013 will depend on donor 
support. Federal support for temporary exhibits was eliminated in FY 2012 due to 
budget constraints. Temporary exhibitions under consideration for FY 2013 follow: 
GenoME: The Science of the Human Genome (April 2013) is envisioned as a 
high-tech, high-intensity experience focused on the future of genomics research 
and its impact on our everyday lives; it is developed in collaboration with the 
National Human Genome Research Institute. Orchids (January 2013) will bring 
back a perennial favorite, in collaboration with Smithsonian Gardens, to highlight 
the beauty and biology of orchids. After its three-month run, NMNH will reinstall 
More Than Meets the Eye, a photographic exhibition highlighting the science that 
is conducted within the Museum; this money-saving strategy is in direct response 
to the reduction in federal funding for temporary exhibits. Photography of Brian 
Skerry (February 2013) and Nature's Best Photography Awards Show 2012 (April 
2013) highlight outstanding images that historically engage the public. Mud 
Masons of Mali (June 2013) presents the art and artists of earth building from 
West Africa to the public in the African Voices Focus Gallery; simultaneously 
NMNH will present artist Willem Boshoff's installation Garden of Words outside on 
the front lawn. Both of these are part of the larger Institution-wide Earth Matters 
Initiative. Unintended Journeys (September 2013) will be an anthropologically 
focused photography show that highlights how people respond to displacement 
because of war, natural disaster, and economic need. 

NMNH will also continue to implement its public engagement plan to 
coordinate and integrate its many outreach efforts. This plan focuses the 
Museum's permanent and temporary exhibitions, educational programs, and 
Web outreach on the major research themes identified in the Science Strategic 
Plan: understanding the formation of the Earth and similar planets, discovering 
and understanding life's diversity, and exploring human diversity and cultural 
change. 



51 



In FY 2013, the Museum's fundamental commitment to education and 
outreach will be further deepened and expanded in support of the Smithsonian's 
strategic goal of Revitalizing Education. Building on the Museum's cutting-edge 
research, its vast collections, and exciting exhibitions such as the Sant Ocean 
Hall, David H. Koch Hall of Human Origins, Race: Are We So Different?, and 
Butterflies + Plants: Partners in Evolution, the Museum will reach out to a 
growing local, national, and international audience, including children and 
families, students and teachers, adults, and youth ages 13-18 who visit the 
Museum on the Mall or its extensive presence online. Outreach activities will 
include traveling exhibitions, distance learning, and in-depth, online resources, 
including the Ocean Portal, Human Origins website, and digitized collections, as 
well as long-standing programs of lectures, films, teacher education, and hands- 
on opportunities. These efforts serve visitors to our nation's capital and, through 
our innovations in educational technology, tens of millions of people around the 
globe who cannot visit the Museum in person. NMNH will continue to evaluate 
the effectiveness and impact of its public education and outreach efforts with 
focused audience research and evaluation. 

Also in FY 2013, NMNH will implement a rich array of monthly on-site and 
online public programs to complement the Museum's exhibitions, including the 
Hall of Human Origins, and will present programs locally and nationally for the 
acclaimed traveling exhibition, Race: Are We So Different? This will include 
intergenerational programming, public lectures, and additional events for local 
and national audiences. NMNH will continue to prepare and disseminate new 
educational resources for the public, and for students and teachers, to support 
major exhibitions. In particular, NMNH will focus its science programs on greater 
outreach to the public and on increased public access to the collections through 
Web-based resources and use of distance-learning technologies. This includes 
maintaining engagement through the Ocean Portal and the Human Origins 
interactive educational websites, beginning development on a new Paleobiology 
website, and continuing to incorporate evolving social media. NMNH will continue 
to increase access to exhibits, research, and collections for people with 
disabilities as well as economically disadvantaged students. This includes 
enhancing educational resources to provide access for people with disabilities by 
training docents and using new media tools as well as using new partnerships 
and services to reach traditionally underserved audiences. 

In FY 2013, pending donated funds to be raised, construction will be 
completed on a new Education Center designed to provide unprecedented 
access to and experiences with the Museum's research, collections, and 
scientists. The collections and staff of the Naturalist Center finished moving back 
from Leesburg, Virginia in August 201 1 , to the NMNH Museum on the Mall. 
Scheduled to open in 2013, the Education Center will provide the Museum's 
many audiences with a major innovative facility for informal science education, 
and will include on-site and online programs to inspire the next generation of 
scientists. 



52 



A critical element of NMNH's plans for FY 2013 is the Museum's 
commitment to the stewardship of its federal scientific collections in support of 
the Smithsonian's strategic goal of Strengthening Collections. As was 
underscored by a recent survey of federal collections, these resources play an 
important role in public health and safety, homeland security, trade and economic 
development, medical research, and environmental monitoring. They also 
provide the foundation for the Museum's diverse research, exhibits, and public 
outreach programs. NMNH will continue to strengthen its commitment to cutting- 
edge research and state-of-the-art stewardship of the collections, in partnership 
with affiliated federal agencies such as the Departments of Defense, Commerce, 
Agriculture, and the Interior. Federal funding is the linchpin for maintaining and 
preserving these priceless collections and their valuable information for future 
generations, while also supporting their use for critical ongoing research that, for 
example, facilitates recovery efforts after natural disasters such as volcanic 
eruptions and the associated loss of biodiversity. The breadth of NMNH research 
and its collections of biological, geological, and anthropological objects fosters an 
interdisciplinary environment that attracts other academic institutions, foreign 
researchers, and national and international policy makers. 

Furthermore, the NMNH has a long history of training future scientists 
here and abroad to examine and monitor biodiversity in their own countries, 
among their other research endeavors, which also strengthens the NMNH 
collections and connections with these countries. The NMNH is committed to 
training future generations of scientists by increasing the number of its 
postdoctoral fellowship awards and providing an entry-level research experience 
for the most talented undergraduates in the Earth and life sciences as well as 
anthropology. Collaboration with foreign students and colleagues will continue to 
be emphasized to broaden the international science network. 

In FY 2013, the NMNH will continue collections preservation and access 
projects related to strategic initiatives in preserving indigenous languages 
through preservation of manuscripts, recordings and moving images, and 
photographs; preserving and digitizing fossil collections and associated paper 
records, and preserving biological specimens at ultra-cold temperatures to 
document biodiversity. In addition to these new strategic initiatives, other high- 
priority collections improvement projects identified through the comprehensive, 
quantitative assessment of the collections will continue. These include the 
processing of plant collections and remediation of damage caused by the past 
use of mercuric chloride to preserve the plant collections, inventory of selected 
ethnographic collections, re-housing of geological collections in need of 
microclimates to prevent deterioration, securing vertebrate collections cabinetry, 
improving mitigation and prevention strategies for management of Museum 
pests, re-housing and organization of unique collections of slide-mounted 
microscopic invertebrates, and inventories and record updates resulting from the 
transfer of collections to the newly renovated Pod 3 facility at the Museum 
Support Center. 



53 



NMNH will continue to significantly increase the number of specimen 
records in its electronic databases for scientists, the Research and Collections 
Information System, or RCIS, and to expand the availability of these valuable and 
unique assets via the Internet to worldwide researchers, policy makers, and the 
public. NMNH will continue digitization of selected plant, insect, and artifact 
collections. 

To achieve the Smithsonian's goal of Excellent Research in FY 2013, 
NMNH will continue to implement its five-year strategic plan that is linked to the 
Smithsonian Strategic Plan, and focus on initiatives related to new insights in 
geology and mineralogy, paleobiology, systematics, evolutionary biology, ecology 
and its relationship to biodiversity, and anthropology. Increasing the number of 
digitized specimens will enable researchers to leverage the knowledge inherent 
in the diverse collections to address many of today's pressing issues regarding 
invasive species, disease vectors, and the impact of humans on biodiversity and 
climate. As a result, NMNH publications will have a more integrated quality, 
providing insights from all viewpoints of the Museum on pressing national and 
international topics. 

The NMNH's strengths in research have been diversified and infused with 
some exciting new hires in the past few years, focusing on the following areas, 
which also link directly to the Smithsonian's Grand Challenge areas of research: 
maintenance, documentation, and analysis of indigenous languages of 
Mesoamerica; the evolution of pelagic invertebrates that swim up off the sea 
floor, as opposed to their ancestors that actually lived on the sea floor; the 
origins, diversification, and evolution of social insects; chemistry at the core- 
mantle boundary of our planet and its influence on geochemistry at the Earth's 
surface; discovery of unknown mammal species; the evolutionary and ecological 
histories of some four-limbed marine tetrapods that made the great transition 
from life on land to sea; and the paleoecology of whales and dolphins. 

Highlights of research that NMNH scientists will continue in FY 2013 
include: spacecraft-based research that has shown the planet Mercury is rich in 
iron and titanium oxides, suggesting that Mercury has a more complex geologic 
history than was previously thought; microfossil research demonstrating that 
Neanderthals consumed both plants and cooked food; paleo-archeological 
research at Miles Point on the Chesapeake Bay Peninsula, demonstrating that 
the area was occupied more than 5,000 years before the presently accepted date 
for the human occupation of the Americas; study of the evolution and genetic 
diversity of vertebrates, which recently resulted in the discovery of a living fossil 
eel; work in ocean environments and studies on current circulation, focusing on 
past intervals and greenhouse climate; studies of the large-scale evolutionary 
relationships among birds, insects, and plants as part of collaborative research 
projects in the National Science Foundation (NSF)-funded Tree of Life initiative, 
and, in particular, studies of the large-scale evolutionary relationships among 
Lepidoptera (moths and butterflies), spiders, and ants; studies of deep-sea 



54 



invertebrates in the Gulf of Mexico, including exploration of poorly known regions 
such as cold seeps and petroleum seeps, which are home to diverse but still 
largely unknown communities of animals; research on ecological recoveries from 
mass extinctions and the innovations in the history of life, with special emphasis 
on the Cambrian explosion, the Permo-Triassic, and the Paleogene eras (recent 
research in this area makes a case for a new form of developmental regulation in 
how animals diversified over time); research as part of the Endangered 
Language Program, which will preserve and make accessible through digitization 
more than 11,400 sound recordings of endangered languages in the National 
Anthropological Archives and Human Studies Film Archives, many of which 
currently exist only on endangered recording media; and research into the 
spread of the earliest humans from Africa and Asia, with funding from the NSF. 

In addition, the NMNH will continue its work on the scientific effort started 
in 2007, the Encyclopedia of Life, which has the simple and compelling mission 
to gather and share knowledge about Earth's 1 .9 million known living species 
and make it freely accessible online to anyone, anywhere in the world. The 
NMNH hosts the Secretariat (administrative and leadership hub) for the 
Encyclopedia of Life (EOL), funded through two foundation leadership grants as 
well as base federal funding. This Web-based, online database is expected to 
encompass these 1.9 million known species of animals, plants, and other life 
forms in about 10 years. The database will be configurable for all types of 
audiences, from students and scientists to policy makers and the general public. 
The most recent innovation involved translating the EOL for a more international 
audience by offering EOL in Spanish and Arabic in addition to English. The 
NMNH is uniquely positioned to contribute to this global effort of documenting 
every known species currently living on Earth, through its extensive and broad 
collections as well as through the scientific staff who provide the context for these 
specimens. The specimens require the scientific expertise of NMNH staff to 
provide related ecological and evolutionary information. 

In FY 2013, the NMNH will support the goal of Strengthening Collections 
by providing maintenance for mobile shelving, nitrogen cabinets, and freezers at 
the state-of-the-art research, conservation, and collection storage facility at the 
Museum Support Center (MSC) in Suitland, Maryland, as well as by relocating 
tissue collections from various sites into the Bio-Repository at MSC, and 
assisting in earthquake remediation. An additional focus for the Natural History 
Building in FY 2013 will be to continue renovating major building systems and 
improving security in the building, resulting in better collections housing, 
upgraded laboratory facilities for researchers, and more useful public space for 
exhibitions and educational opportunities. Finally, an important management 
focus of NMNH will be to support a robust and reliable information technology 
infrastructure for new online facilities, and to broaden access to the Museum's 
collections and research through Web programs, which support NMNH-specific 
electronic outreach goals. This focus on Broadening Access will make collections 
data easily accessible via the Internet, maintain important collaborative Web 



55 



projects such as the Ocean Portal and the Human Origins website, both 
launched in 2010, and help the Museum launch new websites and update them 
with current information. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget estimate includes a net increase of $380,000. 
The estimate includes $250,000 for necessary pay and other related salary costs 
for existing staff and a program increase of $1 30,000 for exhibit maintenance. 
The increase for exhibition maintenance is as follows: 

• (+$1 30,000) The request provides funding to support critical collections 
needs for exhibit maintenance. With this support, the NMNH will 
address wear and tear on its public spaces caused by hosting nearly 
seven million visitors each year. The Museum will replace 
approximately 15,000 square feet of worn and dirty carpet, which 
covers two of NMNH's 30 exhibit halls. In addition, the Museum will 
improve exhibit lighting in at least two halls by replacing outdated 
lighting tracks and fixtures, using longer lasting LED fixtures, reducing 
manpower and utility costs. The NMNH will also replace worn and 
faded graphics, non-functioning monitors and playback devices, and 
stained and unattractive cabinet and display finishes where needed. 
Many of these needed improvements have been pointed out by the 
visiting public. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits of administrative personnel, development and business activities, 
and other program-related costs. The Museum raises funds from private sources 
to support research, exhibitions, public programs, and administrative functions. 
This includes securing donations from special events to promote new exhibitions 
and educational initiatives, and public outreach. Donor/sponsor-designated funds 
are critical to support exhibition hall renovation, such as the major gifts that are 
helping to fund the Museum's Human Origins Hall, which opened in March 2010, 
and fellowships for the Encyclopedia of Life project, through which a freely 
accessible webpage is being created for each of the Earth's 1.9 million known 
species. In addition, significant endowment gifts support internships and 
fellowships which will introduce more students into the natural sciences, as well 
as help the Museum maintain and update its educational programs for the Ocean 
Hall, and study of human origins. Other examples include the Johnson and 
Hunterdon endowments, which provide operational support for the Smithsonian 
Marine Station at Fort Pierce, Florida, in addition to supplying a significant portion 
of the base funds needed to run the NMNH research station at Carrie Bow Cay in 
Belize. The endowments also support research in the biodiversity, life histories, 
and ecology of marine organisms in the coastal waters of Florida by almost 50 
scientists each year, including staff from NMNH, the Smithsonian Environmental 



56 



Research Center, the Smithsonian Tropical Research Institute, and collaborators 
from universities nationwide. 

The Museum continues to receive grants and contracts from both non- 
Government and Government institutions. The Museum was awarded grants and 
contracts totaling $4.2 million in FY 201 1 (mostly in multi-year grants), and 
anticipates awards totaling approximately $4 million in FY 2012. These funds 
support both cutting-edge research and exhibitions, and demonstrate 
international collaboration in addition to cross-agency collaboration on shared 
projects and issues. For example, researchers in the Departments of Mineral 
Sciences and Paleobiology continue to receive significant grants from NASA and 
the NASA Jet Propulsion Laboratory for various research projects. The U.S. Air 
Force and the U.S. Department of Transportation continue to support the 
bird/aircraft strike hazard program that provides critical data to the FAA and other 
agencies on the types of birds that can get caught in airplane engines. Funds 
were provided to continue work on the Consortium for the Barcode of Life, an 
international initiative devoted to developing DNA barcoding as a global standard 
for the identification of biological species. Also, the U.S. Department of Health 
and Human Services provided funding to identify invasive fish species, and the 
U.S. Park Service supported indigenous language documentation in the Bering 
Strait region. 

The effects of environmental change are documented, monitored, and 
assessed in various ways. One NMNH researcher and his colleagues at George 
Mason University received a National Science Foundation grant to develop new 
computer models which will simulate human societies and analyze their 
responses to climate change. In addition, the U.S. Department of Defense 
continues to fund environmental monitoring in and around the St. Lucie Estuary 
and the Southern Indian River Lagoon in Florida, an area rich in biological 
diversity. 

The National Science Foundation also continues to support NMNH's 
leadership in training the next generation of scientists, with funding to continue 
and strengthen the new Natural History Research Experience's Program through 
a multiple-year grant of nearly $1 million. The program was implemented with 
seed money from NMNH endowments in 2010, and now has solid funding for the 
next four years, through FY 201 5. 

As part of the Smithsonian's planned National Campaign, the Museum is 
committed to raising private funds to support the strategic priorities outlined in the 
Museum's strategic plan for 2010-2015: Knowledge for a Sustainable Future. 



57 



NATIONAL ZOOLOGICAL PARK 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


221 


23,306 


14 


2,484 


17 


7,081 


6 


1,499 


FY 2012 
ESTIMATE 


218 


23,315 


16 


2,950 


17 


7,081 


6 


1,075 


FY 2013 
ESTIMATE 


218 


24,339 


16 


2,950 


17 


7,000 


6 


1,075 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


30 


2,586 


30 


2,586 








Broadening Access 














Exhibitions 














Offer compelling, first-class exhibitions 


113 


10,765 


113 


10,765 








Revitalizing Education 














Education 














Engage and inspire diverse audiences 


2 


259 


2 


259 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


51 


6,372 


51 


7,272 





900 


Mission Enabling 














Security and Safety 














Provide a safe and healthy environment 


5 


793 


5 


793 








Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


4 


816 


4 


816 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


9 


1,126 


9 


1,250 





124 


Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and 
with federal, state, and local governments 


4 


482 


4 


482 








Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 





116 





116 








Total 


218 


23,315 


218 


24,339 





1,024 



58 



BACKGROUND AND CONTEXT 

As the Nation's Zoo, the mission of the Smithsonian's National Zoological 
Park (NZP) is to provide leadership in animal care, conservation science, 
education, sustainability, and an excellent visitor experience. For FY 2013, NZP 
has identified three strategic priorities: 

Training the Next Generation: 

In fall 2012, the Smithsonian's Conservation Biology Institute (SCBI) will 
open the new Smithsonian-Mason Global Conservation Studies Program — a joint 
venture with George Mason University. FY 2013 will usher in the first year of 
operations at the new facility. This important infrastructure project will enable us 
to succeed in the strategic goals of Excellent Research, Revitalizing Education, 
and Mission Enabling. As a result, staff will be tracking the number of 
professionals/practitioners trained worldwide, the number of organizations 
partnering with NZP/SCBI on training, and the number of students who take 
courses at the new campus in Front Royal, Virginia. 

Ensuring the Survival of Species at Risk: 

This is a joint goal of NZP animal care staff at Front Royal, Virginia and 
Washington, DCs Rock Creek Park, as well as SCBI researchers. It is important 
to ensure the future of endangered species in both captive zoo populations and 
in their home countries. As a result, NZP will track progress on this goal by 
monitoring participation in breeding programs, the number of species actively 
breeding at the non-public Front Royal facilities, the number of conservation 
programs in the field, and the number of range country partners working with our 
staff and students. 

Sustainability: 

It is important for the Zoo to walk and not just talk. The Zoo will continue 
working toward one of its core tenets — "sustainability in all you do" — and keep 
making progress to become more financially sustainable and "green" (with cost- 
saving initiatives), and to educate the public on sustainability and its relationship 
to conservation biology. FY 2013 will mark the first full year of operation for our 
newly renovated American Trail, with a rebuilt Seals and Sea Lion exhibit, and 
the re-opening of the historic Elephant House in the center of the Rock Creek 
campus. 

For FY 2013, the budget estimate reflects a net increase of $1,024,000. 
This amount includes $124,000 for necessary pay and other related salary costs 
for existing staff funded under this line item. 

The FY 2013 estimate also includes $900,000 in programmatic increases 
to support animal care needs, including increases for food, medicine, enrichment, 
and safety. These funds will enable NZP to continue to be leaders in the animal 
husbandry field and improve animal care. 



59 



MEANS AND STRATEGY 

In addition to the operation of the Smithsonian Conservation Biology 
Institute in Front Royal, the following highlights are set to occur in FY 2013. 

For the Smithsonian-Mason Global Conservation Studies Program, 
FY 201 3 will see the much anticipated culmination of this joint venture. Under the 
agreement, students have been studying at a simple facility at the Front Royal 
campus. On June 29, 2011, the Smithsonian broke ground on a new Leadership 
in Energy and Environmental Design (LEED)-certified complex, including 
classrooms, laboratories, dining and events facilities, dormitories, and study 
halls. When complete, the facility will be capable of growing to accept up to 60 
undergraduate students and 60 graduate students and professionals. 

FY 201 3 will be the first full year of operation for the new American Trail, 
which is scheduled to open on July 4, 2012. This opens up a significant area of 
the Zoo that has been closed for years during the rebuilding of the seal and sea 
lion pool. This construction was a renovation to stop the leakage of more that 
100,000 gallons of water per day. The new pools have advanced filtration 
systems that are not only more environmentally sustainable, but will enable staff 
to better monitor water quality for the animals that have a history of eye 
problems. Harbor and grey seals will join the Zoo and our former sea lions 
(temporarily housed in the Pittsburgh Zoo) will be welcomed home. 

The second phase of Elephant Trails will also open in FY 2013 with the re- 
opening of the historic Elephant House, now renamed the Elephant Community 
Center. For more than 100 years, NZP has been working with Asian elephants, 
which are now listed as endangered on the World Conservation Union's (IUCN) 
Red List of Threatened Animals. Phase One of the new exhibit opened in 
FY 201 1 with a large indoor barn and almost two acres of outdoor space with an 
elephant trek, which provides a quarter-mile walking path for regular outdoor 
exercise, as well as the Homer and Martha Gudelsky Elephant Outpost for public 
education. The next phase of the Elephant Community Center will involve 
providing an indoor area where the public can view elephants and the elephants 
can be active and socialize in inclement weather. 

Under the public's radar, but of equal importance, FY 201 3 will kick off the 
Association of Zoos and Aquariums (AZA) accreditation process. This is a 
rigorous inspection and review process that ensures the Zoo is following best 
practices in all areas of animal management. The Zoo will prepare for the AZA 
accreditation by placing increased scrutiny on the processes and procedures for 
ensuring the safety and health of the staff and the living collections. 

Also occurring behind the scenes but of importance to NZP staff is the 
project to structurally repair the General Services Building and the North Road 
retaining wall. These projects will require several years to complete, and will 



60 



mainly impact staff working at the Zoo, but will have some negative impact on 
visitor parking. 

In addition to its on-site visitors, the Zoo continues to see many people 
visit its website. Some of the most popular features are the many webcams — 
from Amazon Rivercam to the ever-popular panda cam, to the video links that 
brought the lion cubs to the public before they could be exhibited outside. The 
webcams help the keepers monitor animals during sensitive periods such as 
pregnancy and birth. During 2011, the NZP website hosted about 10,000 pages 
and attracted more than 19 million on line visits, thereby maintaining its position 
as one of the most popular Smithsonian websites. 

On a related note, the panda exhibit has proven very successful in 
engaging the public — both on site and through the webcams. Pandas are 
considered to be an umbrella species. Protecting pandas means protecting their 
native habitats, which in turn protects more endangered species. FY 201 1 
marked the renewal of the contract with the Chinese government to continue to 
keep Chinese giant pandas at the Zoo. In early FY 2012, a private donor made a 
substantial gift and the private funds supplement federal appropriations to 
support the research being conducted jointly with the Zoo's Chinese 
counterparts. 

The NZP's next major undertaking at Rock Creek Park is the renovation of 
the historic Bird House and a new exhibit called Marvelous Migrations. In FY 2013, 
much of the planning for the exhibit concepts, ideas, and fundraising strategies will 
be ongoing with construction beginning in FYs 2017-2019. Another component of 
the NZP's infrastructure is the construction of the perimeter fence. In accordance 
with AZA guidelines, NZP has identified a fence that provides secondary 
containment in case of animal escape. The design of the fence will be completed in 
FY 2012 and the construction completed in FY 2013. 

As part of the regular, ongoing research taking place, NZP will place 
particular emphasis on its giant panda, endangered amphibian and bird, cheetah. 
tiger, clouded leopard, black-footed ferret, Przewalski's horse, and Asian elephant 
specimens. Ongoing studies on these and many other species will help secure 
sustainable wild and captive populations, and are conducted in collaboration with 
other organizations worldwide. NZP scientists are also engaged in a variety of 
collaborative studies on forest ecology and climate change as part of the 
Smithsonian's Global Earth Observatory (SIGEO) and the National Science 
Foundation's National Ecological Observatory Network (NEON) initiatives. NZP 
scientists will continue to share their research with the public and a wide range of 
scholars, university researchers, and field biologists. Zoo staff will use their 
findings to enhance the health and welfare of the NZP living animal collection, and 
strengthen NZP exhibits as well as educational and outreach programs. 



61 



In addition to the SCBI undergraduate program highlighted above, the Zoo 
continues to be a major center of professional conservation-based training. The 
Zoo offers regular training classes on a variety of fronts, including the Global- 
Tiger Initiative Smart Patrolling Course in which SCBI scientists spent a month 
working with wildlife officials in Thailand to better protect tigers. This course and 
others in Adaptive Management, Conservation Conflict Resolution, and 
Conservation Leadership all support the NZP's top goal of Training the Next 
Generation. 

In FY 201 1 , the NZP began educational partnerships with the Boys and 
Girls Clubs of Greater Washington, the National Science Resources Center 
biodiversity workshops, and the George Mason University Youth Summit on the 
Environment. Together, these alliances reached more than 200 students in the 
two programs, as well as 40 nationally recognized teachers. NZP also provided 
80 international teachers with resources, tours and presentations to support the 
Microsoft Students Helping Others Unite Together (SHOUT) Program. In 
addition, in 2011, through a partnership with Reading Is Fundamental, the Zoo 
reached 40,000 childcare and classroom locations through a reading webcast. 
Through a Smithsonian Youth Access grant, the Zoo partnered with the 
Smithsonian Environmental Research Center to provide teacher training to 
Washington, DC elementary and middle school teachers, on local biodiversity, as 
well as no-cost field trips for their students. As part of NZP's public outreach 
efforts, the Zoo reached hundreds of local citizens in the Front Royal area with 
seasonal monthly lectures by Smithsonian field and local scientists. In 
partnership with the National Museum of Natural History and its successful YES! 
— Youth Engagement through Science — program, several YES! interns came 
to the Rock Creek campus to participate as animal keeper aids. 

In support of the Smithsonian Mission Enabling goal, the NZP has 
increased safety training and set a goal of zero injuries. Zoonotic training and 
increased biosecurity protocols have been implemented to minimize health risks 
to staff and the living collection. The NZP is aggressively executing its strategic 
and long-range renewal plans and continuing its modernization and improvement 
programs in the areas of life, health, and safety of people and animals, animal 
nutrition (including food distribution), pest management, training, records 
management, and information technology. In addition, the NZP continually 
assesses its around-the-clock infrastructure support operation for animal exhibits 
to ensure the safety and well-being of the living collection, visitors, facilities, and 
staff. 



62 



FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget estimate reflects an increase of $1,024,000. This 
amount includes $124,000 for necessary pay and other related salary costs for 
existing staff funded under this line item. In addition, the NZP is seeking a 
programmatic increase of $900,000 for animal welfare, as follows: 

• (+$900,000) This request provides resources to support the welfare and 
care of the animal collection. Excellence in animal care is paramount for 
the NZP to meet refined and adjusted AZA standards, especially now that 
the Zoo is up for AZA re-accreditation this year. The requested $900,000 
will provide necessary animal health associated costs such as running, 
maintaining, and supplying a lab, medicine and medical supplies, 
enrichment, permittees, and animal transportation and shipments. Higher 
prices, particularly for animal food, have driven operational costs higher. 
For example, beef prices in the past year have increased roughly 10 
percent and the price of shrimp has seen larger increases, due to recent 
supply disruptions. Medicines, lab tests, and supplies have seen smaller 
but still significant increases in the past several years. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits of the director and general operational requirements for adequate 
animal care, professional training in conservation sciences, and animal 
acquisitions. Donor/sponsor-designated funds support the costs related to 
specific programs and projects, including field and captive studies on Sahelo- 
Saharan antelopes, amphibians, cheetahs, giant pandas, Asian elephants, tigers 
and clouded leopards, ecological studies on migratory birds, and the monitoring 
documentation of biodiversity and habitat quality in selected sites around the 
world. A large percentage of these funds supplement federal funding for 
renovating and modernizing the Zoo. Private donations for Asia Trail II, "Elephant 
Trails," contribute to a portion of construction costs and support all exhibit 
interpretive design and implementation. In FY 201 1 , the popular Kids Farm 
exhibit was in danger of closing due to budget constraints. Much to the relief of 
various stakeholders, State Farm Insurance committed to a five-year, $1,400,000 
gift. This gift enables the Kids Farm to stay open through 2015. Government 
grants and contracts support a wide array of scientific studies on the biology and 
habitats of endangered and threatened species. NZP education, visitor services, 
and volunteer programs are funded almost exclusively by the Friends of the 
National Zoo. 



63 



SMITHSONIAN ENVIRONMENTAL RESEARCH CENTER 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


31 


3,765 


7 


574 


9 


1,410 


34 


4,698 


FY 2012 
ESTIMATE 


32 


3,767 


8 


728 


13 


1,040 


41 


4,500 


FY 2013 
ESTIMATE 


32 


3,867 


7 


700 


13 


1,040 


41 


4,500 



STRATEGIC GOALS: EXCELLENT RESEARCH; REVITALIZING 
EDUCATION; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


24 


3,016 


24 


3,042 





26 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


1 


108 


1 


111 





3 


Mission Enabling 














Management Operations 














Strengthen an institutional culture that is 
customer centered and results oriented 


4 


424 


4 


489 





65 


Modernize the Institution's financial 
management and accounting operations 


3 


219 


3 


225 





6 


Total 


32 


3,767 


32 


3,867 





100 



BACKGROUND AND CONTEXT 

The Smithsonian Environmental Research Center (SERC) is a leader in 
research on land and water ecosystems in the coastal zone. SERC's innovative 
research and unique setting advance basic environmental science in the zone 
where most of the world's population lives, and provides society with the 
knowledge to solve the environmental challenges of the 21st century. 

Research and discovery remain the core activities at SERC. Scientists use 
the unique site on the shore of the Chesapeake Bay, and other sites, including 
the Smithsonian Marine Science Network, to investigate the ecological 



64 



interconnections of aquatic, terrestrial, and atmospheric components of complex 
landscapes, with comparative studies on regional, continental, and global scales. 

SERC achieves the goal of Revitalizing Education by engaging and 
inspiring diverse audiences through school-based programs, teacher training, 
and public outreach. SERC programs serve nearly 20,000 school children and 
public visitors annually. 

SERC maintains a vigorous professional training program dedicated to 
producing the next generation of scientists. Through its efforts to achieve 
extramural funding and establish external partnerships, SERC hosts a large 
number of undergraduate interns, graduate students, postdoctoral Fellows and 
visiting scientists, with a particular success in reaching those candidates from 
underserved communities. 

SERC will continue to update and streamline management systems and 
functions, and advance construction of its Facilities Master Plan. In FY 2012, 
substantial progress will be made on the long-awaited renovation of the Mathias 
Laboratory, which includes replacement of many temporary trailers on the 
campus, thus helping to ensure the safety and protection of staff, Fellows, 
volunteers, and visitors. The project is scheduled for completion in FY 2014. 

For FY 201 3, the budget estimate includes an increase of $1 00,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

SERC has an advantage in furthering its research goals and priorities by 
operating its 2,650-acre site on the Chesapeake Bay. Using the unique 
assemblage of streams, forests and agricultural fields, its scientists investigate 
the interconnections of aquatic, terrestrial, and atmospheric components of 
complex landscapes. SERC's research campus also supports research efforts of 
other collaborators and agencies (e.g., USDA, USGS, USFWS, and many 
universities). SERC develops innovative approaches and instrumentation to 
measure environmental changes at four ecological levels (i.e., global change, 
landscape ecology, ecology of coastal ecosystems, and population and 
community ecology), and has developed unique, long-term, and experimental 
data sets on environmental change. SERC also participates in developing the 
Smithsonian's Marine Science Network of sites along the western Atlantic Ocean 
for comparative coastal studies, and in using the Smithsonian's long-term field 
stations to assess ecological patterns and processes. SERC has been selected 
as a partner site in the National Ecological Observation Network (NEON). As 
such, the SERC campus will become a node for environmental data collection 
that will feed a national network established to observe and interpret changes in 
our terrestrial environments. During its 47-year history, SERC has built a 



65 



reputation for world-class research, producing many publications that are rich in 
data and multi-disciplinary and integrative in analysis. 

SERC's research, education, and outreach efforts are closely aligned with 
the Smithsonian's Strategic Plan. By building on existing strengths and special 
programs, SERC seeks to enhance its successful research on the following 
topics: land-sea linkages of ecosystems; landscape ecology of coastal 
watersheds; estuarine ecology; invasive species (especially in coastal 
ecosystems); global change impacts on biotic and chemical interactions; 
biocomplexity of structure and processes in key ecosystems; and community and 
population ecology. 

During the next five years, SERC research on coastal marine ecology will 
focus on four key, interrelated areas: the structure and dynamics of marine food 
webs; the integrity and biodiversity of crucial marine ecosystems; linkages of 
ecosystems at the land-sea interface; and the ecological regulation of marine 
biodiversity. SERC seeks to expand its expertise in the ecology of invasive 
species, and how they affect coastal ecosystems. To implement these goals, 
SERC will link its research with national and international research networks and 
enhance the Marine Science Network. SERC is also developing scientific and 
technological capabilities in analytical chemistry, remote sensing, and 
instrumentation in coastal watersheds and connected ecosystems. SERC has 
been a lead contributor in establishing a pan-institutional consortium, known as 
Marine-GEO, in an effort to coordinate and align the extensive marine research 
efforts ongoing throughout the Smithsonian. In addition, SERC is working with 
partners in NMNH and the regional research community to develop DNA barcode 
libraries for all of the species of fishes and major groups of invertebrates of the 
Chesapeake Bay. This will become a shared resource for tracking biodiversity, 
species distributions, and foodweb structures in the nation's largest estuary. 

SERC has used its website to provide more information to the public about 
environmental issues in general, and the Center's research and education 
programs in particular. On-site education will focus on serving approximately 
18,000 students and members of the general public. SERC will continue to 
expand its successful distance-learning programs to improve access for 
traditionally underserved audiences, as well as those participants located away 
from the SERC campus. 

SERC has strengthened its public outreach programs and continues to 
participate in the National Park Service's Chesapeake Gateways Network. 
Through partnerships with various agencies in the Maryland state government 
and the Gateways program, SERC has continued development of a series of 
new trails and visitor experiences on the historic 575-acre Contee Farm, which 
was acquired in 2008. In addition to providing a lecture series, workshops, and 
expert consultation for the public, teachers, and public officials, SERC remains 
open to the general public six days a week. Also, besides offering formal 



66 



programs to the public, SERC encourages visitors to explore the Center's many 
trails through forests and fields, as well as more than 12 miles of shoreline along 
the Chesapeake Bay. 

SERC continues to implement its comprehensive Facilities Master Plan 
through projects that provide critical infrastructure improvements and allow for 
controlled and operationally sustainable growth over the next 25 years. One of 
the key components of the plan is the focus on reducing energy and water 
consumption across the campus. The incorporation of sustainable improvements 
into the campus framework will ensure long-term savings in operating costs. 

SERC has established management controls to ensure proper accounting 
for its research activities, including indirect cost recovery in its sponsored 
research program. Moreover, the staff will strive to maintain an excellent record 
of safety and protection for all staff and visitors. In conjunction with the 
Institution's central administrative offices, SERC maintains its excellent record of 
property management and protection of sensitive information and data. 

NONAPPROPRIATED RESOURCES — General trust funds support fund raising 
and intern/fellowship programs. In addition, core administrative support is funded 
through an indirect cost surcharge applied to extramural research and education 
awards. Donor/sponsor-designated funds provide critical operating support 
related to specific programs and projects in research, public education, and 
professional training. The bulk of SERC's scientific research program of more 
than $5 million is supported by Government grants and contracts, including the 
National Ballast Information Clearinghouse, established by Congress as part of 
the National Invasive Species Act of 1996. 



67 



SMITHSONIAN TROPICAL RESEARCH INSTITUTE 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


253 


14,867 


36 


853 


45 


6,396 


16 


1,916 


FY 2012 
ESTIMATE 


202 


12,469 


35 


800 


42 


6,300 


14 


1,950 


FY 2013 
ESTIMATE 


202 


13,109 


35 


800 


42 


6,300 


14 


1,950 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


93 


8,318 


93 


8,697 





379 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


7 


259 


7 


273 





14 


Public Programs 














Provide reference services and information 


18 


393 


18 


420 





27 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


2 


406 


2 


427 





21 


Mission Enabling 














Security and Safety 














Provide world-class protection for Smithsonian 
facilities, collections, staff, visitors, and 
volunteers 


30 


646 


30 


691 





45 


Provide a safe and healthy environment 


2 


89 


2 


95 





6 


Information Technology 














Modernize the Institution's information 
technology systems and infrastructure 


5 


312 


5 


339 





27 


Management Operations 














Strengthen an institutional culture that is 
customer centered and results oriented 


8 


769 


8 


815 





46 


Ensure that the Smithsonian workforce is 
efficient, collaborative, committed, innovative, 
and diverse 


5 


217 


5 


230 





13 


Modernize the Institution's financial 
management and accounting operations 


4 


140 


4 


148 





8 



68 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media 
and with federal, state, and local governments 


13 


547 


13 


580 





33 


Modernize and streamline the Institution's 
acquisitions management operations 


15 


373 


15 


394 





21 


Total 


202 


12,469 


202 


13,109 





640 



BACKGROUND AND CONTEXT 

From the humble beginnings of a single research station on Barro 
Colorado Island (BCI) located in the middle of the Panama Canal, with a greater 
than 100-year presence, the Smithsonian Tropical Research Institute (STRI) is 
now the principal U.S. organization dedicated to advancing fundamental scientific 
discovery and understanding of biological diversity in the tropics and its 
contribution to human welfare. STRI plays a critical role for the U.S. Government 
and the Smithsonian by maintaining world-class research facilities in Panama, 
where last year more than 1,200 resident and visiting scientists, representing 44 
states in the United States and 42 countries around the world, accessed diverse 
tropical environments, including rain forest and coral reef ecosystems. STRI 
serves as official custodian for the Barro Colorado Nature Monument (BCNM) in 
Panama under the terms of the Convention on Nature Protection and Wildlife 
Preservation in the Western Hemisphere, ratified by the U.S. Senate in 
April 1941 . The BCNM is the only mainland tropical reserve under U.S. 
stewardship. 

The relevance, quality, and performance of STRI scientists is top tier, as 
evaluated by a Visiting Committee of outside experts. In their last review, the 
Visiting Committee used National Research Council criteria to measure the 
productivity and impact of STRI science compared to 142 of the best university 
research departments in the United States; STRI scientists ranked first in all 
measures of scientific relevance (e.g., publication citations), quality (e.g., 
scientific honors), and productivity (e.g., publication numbers). In addition, the 
number of young scientists who choose STRI as the base for their graduate and 
postgraduate research training provides an annual measure of the relevance and 
quality of STRI science to the future of tropical biology and policy. Even in a year 
marred by global economic contractions, the strong demand for conducting 
research at STRI continued. FY 201 1 marked another year where the number of 
visiting scientists and students choosing to base their research at STRI exceeded 
1 ,200 individuals and, remarkably, the total number of scientific visitor days 
reached an all-time new high for STRI, exceeding 1 10,000. 

The long-term research conducted by STRI scientists and collaborators is 
a critical contribution to the Smithsonian Institution's 2010-2015 Strategic Plan 
"A Smithsonian for the 21st Century," set forth in 2009, particularly through its 
contributions to the Grand Challenge, Understanding and Sustaining a 



69 



Biodiverse Planet. However, STRI also contributes to Unlocking the Mysteries of 
the Universe through its Paleontology program and to Valuing World Cultures 
through its Anthropology and Archeology programs. 

A major goal of the 201 0-201 5 Strategic Plan for the Smithsonian is the 
implementation of interdisciplinary centers aimed at sparking innovative research 
and education programs, and brokering partnerships. The best current example of 
such an interdisciplinary center is the Smithsonian Institution Global Earth 
Observatories (SIGEOs), which have built on a unique research infrastructure that 
began at STRI in 1980. STRI leads the SIGEO initiative, which is discussed in this 
justification under the Biodiversity Consortium. SIGEO successfully links 
environmental change expertise across Smithsonian science units, including the 
Smithsonian Environmental Research Center (SERC), the Smithsonian 
Conservation Biology Institute (part of the National Zoo), the National Air and 
Space Museum (NASM), National Museum of Natural History (NMNH), and the 
Smithsonian Astrophysical Observatory (SAO). To date, the Smithsonian has 
directed more than 12 FTEs and $1,808,000 per year in federal funds, and more 
than $38 million from other federal and private sources, toward the global network 
of Earth observatories. As one of the premier U.S. -led international partnerships, 
SIGEO integrates the SI network of forest dynamics plots with the U.S. Group on 
Earth Observations (USGEO), and promotes an international Global Earth 
Observation System of Systems (GEOSS) to further advance the progress of 
science across borders. Each forest plot is managed in each country by one or 
more partner institutions, and the SIGEO network is a partnership involving more 
than 50 institutions and hundreds of scientists from around the world. 

STRI and SIGEO directly support the Administration's goals in the 
environmental sciences, and send a strong message regarding the U.S. 
commitment to providing objective, long-term data needed for understanding the 
impact of environmental change. In the context of Global Earth Observatories, the 
Smithsonian collaborates with the Environmental Protection Agency (EPA), United 
States Geological Survey (USGS), U.S. Department of Agriculture (USDA) Forest 
Service, the National Oceanic and Atmospheric Administration (NOAA), the 
National Science Foundation (NSF) National Ecological Observation Network 
(NEON), and the National Aeronautics and Space Administration (NASA). SIGEO 
promotes large-scale environmental monitoring and maintains enormous banks of 
data and metadata, which help galvanize advanced data networks and 
sophisticated analyses, extending from single forest plots to the remote sensing of 
forests at landscape scales monitored from space-based observatories. 

For FY 2013, the budget estimate includes an increase of $640,000. This 
includes $63,000 for necessary pay and other salary and related costs funded 
under this line item, and $577,000 to begin the transition to provide equitable 
salary and benefits for the locally hired Panamanian employees so that they are 
comparable to those at the local U.S. Embassy. 



70 



MEANS AND STRATEGY 

As part of its core mission, STRI continues to enhance the Smithsonian's 
platform for long-term research on biodiversity, ecosystems, and the impacts of 
environmental change. As part of this effort, STRI administers the SIGEO network 
of dynamic forest plots that now spans 42 sites in 21 countries, and includes more 
than 4.5 million trees with 8,500 different species represented. The network's 
overall aim is to forecast the effects of global environmental change on forest 
function and biodiversity in tropical and temperate forests, and to quickly provide 
objective and rigorous scientific data to scientists, policy makers, and people 
around the world via the Internet. 

Global climate systems and life on the planet are in flux. Policy makers and 
scientists need long-term data on the fluctuations in primary productivity of forests 
around the globe, as well as information on changes in the abundance and 
distribution of biological diversity, to distinguish the components of global change 
that can be ascribed to planetary processes from those that may be caused by 
human activity. The Smithsonian Institution is building on its unique research 
infrastructure to provide the required data by expanding its global network of 
dynamic long-term tropical forest plots into the temperate zone, and by collecting 
additional data on vertebrates, insects, and soil microorganisms, in addition to the 
trees that scientists have monitored for three decades. Smithsonian researchers 
will answer the following questions: Does environmental change significantly alter 
forest biomass, and does the rate of carbon sequestration by forests vary with 
latitude, hydrological condition, and soil fertility? How are the diversity and the 
relative abundance of forest organisms changing over time and space? What 
components of observed changes are due to human activities? How can people 
modify their behavior and economies to ameliorate any changes that policy 
makers deem to be detrimental to global society? 

The Smithsonian Institution is uniquely positioned to use SIGEO to broaden 
interdisciplinary research on complex ecosystems on a global scale. It will do this 
by expanding its extensive tropical forest-monitoring program into temperate 
regions, and by significantly integrating science units within the Smithsonian. As a 
result of an $8 million, five-year grant from the Hong Kong Shanghai Banking 
Corporation (HSBC) that concluded in 201 1 , STRI, SERC, NZP, and NMNH were 
able to launch the program's cross-unit research aimed at forecasting the 
consequences of global, environmental change on forest function and biodiversity. 

Currently, SIGEO leverages huge intellectual horsepower; the network is 
extremely well used by independent, university-associated faculty and network 
partners. More than 200 scientists have published research from the SIGEO data 
sets, attesting to the broad usability and benefits of the network. One measure of 
this effective leveraging is the large number of NSF-funded research projects 
based within the network. Also, Harvard and Yale universities have provided 
$9 million, in addition to $10 million pledged from a single private donor, to support 



71 



the network for the next five years, maintain partnerships with SIGEO, and 
strengthen the network's basic and social research programs. 

SIGEO has established a Global Carbon Research Program to provide 
in situ measures of above- and below-ground carbon and its change over time in 
response to rising levels of carbon dioxide (C0 2 ). A recent publication by SIGEO 
scientists, using 25 years' worth of data from two forest plots (in Barro Colorado 
Island, Panama and Pasoh, Malaysia), has shown that, despite increased 
atmospheric carbon fertilization, the growth rates of tropical forest trees have 
decreased, perhaps in response to global warming. Objective long-term data from 
a global network of forest plots provide critical empirical data for modeling carbon 
dynamics in the future, and permit direct measurement of the effectiveness of 
efforts to reduce carbon emissions worldwide. 

In FY 2013, SIGEO will continue to cement its inter-unit advances involving 
STRI, SERC, NZP, and NMNH to study the consequences of global climate 
change on carbon sequestered by the world's forests. Tropical and temperate 
forests are believed to behave differently with regard to carbon, owing to 
differences in seasonality and other climate factors. Using the same methodology 
as that for studying the tropical plots, the SIGEO initiative has taken advantage of 
long-term, forest plot-associated research at SERC, located in the Chesapeake 
Bay watershed in Maryland, and the National Zoo's Conservation Biology Institute 
in the forests of Front Royal, Virginia, Harvard Forest, Massachusetts, Yosemite 
National Park, California, and Wind River, Washington, to quickly establish a 
series of large-scale temperate plots in the United States that permit direct 
comparison to the forests in the tropical plot network. Partnerships in temperate 
China and Europe have helped expand temperate-tropical and temperate- 
temperate comparisons to a global scale. 

ENABLING STRI'S MISSION THROUGH ORGANIZATIONAL EXCELLENCE 

STRI continues to advance the vision detailed in the 20-year plan for 
upgrading its facilities, many of which date back to the pre-World War II era of 
Panama Canal defense. The 20-year STRI facilities plan represents a spectacular 
opportunity for the Smithsonian to provide its world-class group of tropical scientists 
with the modernized, sustainable, and state-of-the-science facilities needed to face 
the challenges of the 21st century, when biological problems will play a central role 
in global events. These facilities will continue to serve not only the Smithsonian, but 
also the scientific and academic community of the United States for decades to 
come. The rate of landscape transformation, the loss of forests and reefs in the 
tropics, an ever-growing population to feed and house, the danger of emerging 
diseases, and the still uncertain science of climate change, taken together, highlight 
the fact that the research done at STRI — and the national and international role of 
the Institute — has never been more important. 



72 



STRI also offers important facility resources for federal agencies and 
universities. For terrestrial research, STRI serves as the headquarters for SIGEO, 
and as a base for tsunami-monitoring equipment installed by the U.S. Geological 
Survey. The Institute provides the Environmental Protection Agency (EPA) with 
sites to monitor mosquitoes and their role as disease vectors, and assists the 
National Institutes of Health (NIH) with its funded projects to survey birds as carriers 
of avian influenza. For marine research, the two-ocean stage provided by STRI 
marine facilities permits scientists to move between experiments in the eastern 
Pacific Ocean and the Caribbean Sea in a few hours, and represents a principal 
component of the Smithsonian Marine Science Network extending from the 
Chesapeake Bay to Florida, Belize, and Panama. The recurring two-ocean theme in 
marine science at STRI has resulted in landmark studies of the evolution and 
ecology of tropical marine species and communities, as well as research funded by 
NSF and NIH for the ecologically guided discovery of new pharmaceutical 
compounds. Marine facilities with easy access to two oceans take on increased 
importance as an experimental platform for studying the impact of climate change 
and ocean acidification on coastal coral reefs, sea grasses, and mangroves. 

STRI's record of accomplishment during the past two decades is reflected in 
the increase in number of employees, number of scientific visitors, funding available 
for education, number of new scientific programs in residence at STRI, number of 
peer-reviewed publications, number of grant awards, and other criteria. Managing 
growth is an enviable challenge all organizations long for, and STRI continues to 
position itself for scientific and educational success by never losing focus of the 
need for operational excellence. FY 2013 will be another year STRI continues to 
lead changes that seek to more efficiently use the resources available while at the 
same time adjusting to working in the ever-expanding economy of Panama. STRI's 
organizational efforts will continue to upgrade its physical plant by seeking to reduce 
the aggregated deferred maintenance and by breaking ground on the new 
laboratory in Gamboa. STRI will also restructure its Information Technology 
department to better meet the needs of its scientific computing community as well 
as the business needs of its administrative departments. Lastly, STRI will complete 
the creation of its Advancement department to more effectively communicate with 
the communities critical to STRI while also positioning STRI to more effectively 
identify and raise funds to support its research and educational mission. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget estimate includes an increase of $640,000. This 
increase includes $63,000 for necessary pay and other related salary costs for 
existing staff and $577,000 to provide equitable salary and benefits for the locally 
hired Panamanian employees. 

• With the termination of the Panama Canal Treaties in 2000, U.S. and 
Panama laws required a transition to a local-payroll system governed by 
the labor laws of Panama for all locally hired employees. The 



73 



compensation policy for locally hired employees at STRI that was 
instituted in 2000 has not kept pace with the U.S. Government standards 
or the remarkable growth of Panama's economy. To implement a more 
equitable compensation system for locally hired Panamanian employees 
and to enable STRI to compete in the Panamanian labor market, the 
Smithsonian plans to adopt the U.S. Department of State employment 
standards and practices used by U.S. Embassies around the world. The 
requested increase (+$577,000) will begin the transition to provide 
equitable salary and benefits for the locally hired Panamanian 
employees so that they are comparable to those at the local U.S. 
Embassy. Without the requested funds, STRI will be unable to retain 
valuable employees because it cannot compensate employees at the 
local labor-market rate. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries for 
a small percentage of STRI employees involved in research, public outreach, and 
fund raising. Donor/sponsor-designated funds support specific programs and 
projects to investigate key indicators of global environmental health. As a past 
example, HSBC, a major donor mentioned earlier, has formed a climate 
partnership with the Smithsonian and the environmental organization Earthwatch 
Institute to establish a regional training center on environmental change at SERC 
and to promote citizen involvement in science. Furthermore, the National Zoo's 
Conservation Biology Institute has become one of the NEON sites, providing a 
tremendous opportunity for cross-fertilization and synergy between SIGEO and 
NEON. 

Donor-designated support also provides an endowed chair for the director of 
STRI and an endowed staff position in tropical paleoecology. The chair in 
paleoecology currently investigates climate change during the last 60 million years, 
in part by taking advantage of the multi-billion-dollar expansion of the Panama 
Canal, which is exposing new fossils and geology during the massive excavations. 
The Panama Canal expansion is a unique opportunity to improve our understanding 
of the role that the Isthmus of Panama has played with regard to climate and 
biodiversity change through time. Donor-designated support also funds postdoctoral 
studies of the relationship between brain size and behavioral complexity, and 
postdoctoral fellowships in tropical marine biology, using STRI's Bocas del Toro and 
Galeta field stations in the Caribbean and its Naos laboratory and Rancheria Island 
field station in the eastern Pacific Ocean. And most recently, donor activity has 
enabled STRI to initiate the first country-wide carbon sequestration study using 
advanced technologies such as LiDAR overflights in the tropics. 

Government grants and contracts support programs such as the Panama 
International Cooperative Biodiversity Group (ICBG), funded by the National 
Institutes for Health and administered by STRI, which conducts innovative 
biomedical research and training, and monitors wildlife that could be carriers of 
avian influenza and other animal-borne diseases. 



74 



Introduction, Valuing World Cultures 

As a steward and goodwill ambassador of cultural connections, 
with a presence in some 100 countries and expertise and collections 
that encompass the globe, the Smithsonian will build bridges of 
mutual respect and present the diversity of world cultures and the joy 
of creativity with accuracy and insight. 

RESEARCH Goal: The Smithsonian contributes insights into 
the evolution of humanity and the diversity of the world's cultures, 
arts, and creativity. 

ACCESS Goal: The Smithsonian will inspire audiences to 
explore the cultural and artistic heritages of diverse peoples. 

UNITS primarily associated with this Grand Challenge: 

• Arthur M. Sackler/Freer Gallery of Art 

• Center for Folklife and Cultural Heritage 

• Cooper-Hewitt, National Design Museum 

• Hirshhorn Museum and Sculpture Garden 

• National Museum of African Art 



75 



ARTHUR M. SACKLER GALLERY/FREER GALLERY OF ART 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


44 


6,123 





233 


61 


7,712 





112 


FY 2012 
ESTIMATE 


45 


6,125 





275 


60 


9,321 





97 


FY 2013 
ESTIMATE 


45 


6,155 





275 


60 


9,321 





97 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


13 


1,584 


13 


1,584 








Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 





22 





52 





30 


Public Programs 














Provide reference services and information 


4 


509 


4 


509 








Exhibitions 














Offer compelling, first-class exhibitions 


13 


1,963 


13 


1,963 








Revitalizing Education 














Education 














Engage and inspire diverse audiences 


5 


433 


5 


433 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


6 


767 


6 


767 








Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


1 


129 


1 


129 








Management Operations 














Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


1 


141 


1 


141 








Modernize the Institution's financial management and 
accounting operations 


2 


577 


2 


577 








Total 


45 


6,125 


45 


6,155 





30 



76 



BACKGROUND AND CONTEXT 

The Freer Gallery of Art and the Arthur M. Sackler Gallery (FSG) celebrate 
the artistic traditions of Asia, and are widely regarded as among the most 
important collections of Asian art in the world. The Museums collect, study, 
exhibit, and preserve exemplary works of Asian art, as well as works by Whistler 
and other American artists of the "Aesthetic Movement" as represented in 
Charles Lang Freer's original gift. The combined resources of the Museums are 
directed toward programs that advance understanding of the arts of Asia and of 
the Museums' collections. 

FY 2013 begins with the 25th anniversary of the opening of the Arthur M. 
Sackler Gallery, which is a cause for celebration that will see a vigorous schedule 
of programs, exhibitions, and long-term displays. To achieve the Institution's goal 
of Broadening Access, the FSG will continue to host international loan exhibitions 
and complementary public programs. The FSG will expand the number and 
range of exhibitions and loans offered to other museums throughout the nation 
and worldwide. To further the goal of Broadening Access, additional resources 
and effort will be put into improving the FSG website by introducing a new search 
tool for online collections. The FSG will realign resources in FY 2013 to position 
itself as a world leader in digital initiatives. 

The FSG will achieve the goal of Excellent Research through the 
continued success of linking dispersed initiatives, making them better known both 
inside and outside the Museums, and seeking new funding sources. 

In addition, the FSG will address the goal of Mission Enabling by 
continually assessing and enhancing staff development and oversight of internal 
controls. 

For FY 2013, the budget estimate includes an increase of $30,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

To achieve the goals of Broadening Access and Revitalizing Education, 
the FSG continues to direct resources to raise attendance and reassert its pre- 
eminence in the field of Asian art by mounting high-profile exhibitions. The 
exhibitions planned for FY 2013 include Roads of Arabia, an exhibition on the 
archaeology of Saudi Arabia, which will be the first time this material has been 
displayed in North America; A Visual Universe: Painting and Poetry in Japanese 
Illustrated Books from the Pulverer Collection, an exhibition that explores the 
close connections between painting and publishing in Edo Japan; and Yoga!: the 
Art of Transformation, which is the first exhibition to explore yoga as a central 
theme in Indian art. Several shows will be traveling internationally, including 



77 



possible venues in China — a first for the FSG. Additionally, as part of the 
updating of the permanent galleries of Chinese Art in the Freer, a project begun 
in 2010, the next phase — a gallery of Buddhist sculpture — will be completed in 
FY 2013. Most importantly, the FSG will implement a long-term plan to refurbish 
the public spaces and the remainder of the galleries in the Freer, a project that 
will require several years to complete. 

The FSG will also reach new audiences through a number of educational 
and scholarly programs on the arts of Asia, including hosting a series of 
international conferences and workshops, some focused on celebrating the 25th 
anniversary of the Sackler Gallery of Art, and by collaborating within the 
Smithsonian and with outside organizations, such as the major Museum of 
Islamic Art in Doha and the Aga Khan Museum, which is being built in Toronto. 

The FSG website will be a center for public engagement through a 
redesigned site, an increase to the number of digitized records and images, and 
a new search tool for its online collections. The FSG will work toward effectively 
using grants for students to work on collections management records, providing 
for timelier and greater public access to the entire collection. In FY 2013, the 
Freer and Sackler will realign resources to establish a Digital Media group that 
will aim to be a world leader in its field within the next five years. 

The FSG will achieve the Institution's goal of Excellent Research by 
focusing efforts on coordinating its own collections more vigorously with 
researchers in universities in the Washington, DC area, as well as internationally, 
and ensuring that the FSG has appropriate distribution, in print and online, of 
scholarly publications. 

As part of its goal to advance Revitalizing Education, and to provide 
greater access to high-quality educational resources, the FSG will re-examine 
state, county, and municipal educational mandates to ensure that the FSG's 
programs support public schools' curricula. In addition, the FSG will devote more 
resources to develop long-lasting teaching materials based on the FSG's world- 
renowned collections, and to place more educational resources on the FSG 
website to make it the premier online resource in the United States for 
information on the arts of Asia. As a result of visitor surveys conducted in 
FY 201 1 , the FSG has now instituted a Visitor Advisory Team to ensure that 
recommendations from these surveys are fully incorporated into future efforts to 
serve the public. 

The FSG will achieve the goal of Strengthening Collections by continuing 
to devote resources to its internationally renowned conservation department and 
laboratory. Research work in the analysis, study, conservation, and long-term 
preservation of Asian art objects and materials of Asian art will help guarantee 
that objects from the FSG's collections and many other museums remain 
accessible to future generations. In FY 2013, curators and researchers will 



78 



continue to study and publish new research on the collections, including ancient 
Chinese art from Dr. Paul Singer's collection. With the help of a major Getty 
Foundation grant, work will proceed on an important exhibition and online 
publication of the Pulverer Collection of Japanese books. The FSG will also 
collaborate with Ritsumeikan University to digitize more than 100,000 images of 
Asian art. 

With a special allocation of funds to the Smithsonian, the FSG will 
continue its research into Nazi-era provenance issues. FY 2013 will see the 
strengthening of the international ties developed in the previous years. 

To meet the goal of Mission Enabling, the FSG will continue to improve its 
administrative efficiencies and reporting mechanisms, ensuring that its workforce 
is efficient and skilled, and to adopt best practices for safeguarding Smithsonian 
resources. The FSG has refined data entry into its management tracking system 
commissioned by ManagePro, which enhances accountability by linking the 
strategic plans and goals of the FSG directly to departmental activities and 
outputs. The Museums will also place greater emphasis on linking their work to 
the Strategic Plan of the Smithsonian as a whole. 

NONAPPROPRIATED RESOURCES — General trust and donor/sponsor- 
designated funds are generated from memberships, Museum shop sales, special 
events, unrestricted and restricted gifts and grants, and endowment income. The 
Freer Gallery of Art and the Arthur M. Sackler Gallery are highly dependent upon 
non-appropriated sources to fund the programs and operations necessary to 
provide the quality of exhibitions, programs, and publications expected by visitors 
and scholars, both online and on site. 



79 



CENTER FOR FOLKLIFE AND CULTURAL HERITAGE 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


17 


2,295 


9 


1,294 


1 


281 


1 


643 


FY 2012 
ESTIMATE 


17 


2,330 


9 


1,216 


5 


1,545 





213 


FY 2013 
ESTIMATE 


17 


2,448 


9 


1,217 


7 


2,061 









STRATEGIC GOALS: BROADENING ACCESS; REVITALIZING EDUCATION; 
STRENGTHENING COLLECTIONS; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE $000 


FTE 


$000 


Broadening Access 














Exhibitions 














Offer compelling, first-class exhibitions 


9 


1,264 


9 


1,269 





5 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


2 


326 


2 


329 





3 


Strengthening Collections 














Collections 














Improve the stewardship of the national 
collections 


2 


215 


2 


217 





2 


Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient 
operation of Smithsonian facilities 





34 





140 





106 


Security and Safety 














Provide world-class protection for Smithsonian 
facilities, collections, staff, visitors and 
volunteers 





100 





100 








Information Technology 














Modernize the Institution's information 
technology systems and infrastructure 


1 


125 


1 


125 








Management Operations 














Strengthen an institutional culture that is 
customer centered and results oriented 


1 


56 


1 


56 








Modernize the Institution's financial 
management and accounting operations 


2 


210 


2 


212 





2 


Total 


17 


2,330 


17 


2,448 





118 



80 



BACKGROUND AND CONTEXT 

The Center for Folklife and Cultural Heritage (CFCH) is a research, 
collections, education, and public programming unit of the Smithsonian Institution 
with the mission of "promoting the understanding and sustainability of the world's 
diverse traditional cultures." It is the largest of a triumvirate of federal offices (with 
the Library of Congress' American Folklife Center and National Endowment for 
the Arts' Folk and Traditional Arts program) that supports traditional arts and 
culture in the United States and abroad. For more than four decades, the CFCH 
has accomplished this mission through research, documentation, preservation, 
presentation, education, social enterprise, and publication. It has collaborated 
with thousands of organizations, foundations, and governments in the United 
States and worldwide. The Smithsonian Folklife Festival and Smithsonian 
Folkways recordings are its most visible products, reaching many millions of 
people each year and earning major recognition, including one of the first Best 
Practice Citizen Diplomacy awards from the U.S. Center for Citizen Diplomacy, 
19 Grammy Award nominations, four Grammys, and one Latin Grammy. 

The CFCH, with its highly qualified staff, one-quarter of whom hold 
doctoral degrees, and first-rate production capabilities for public events, also 
produces multi-media website features and publications, exhibitions, 
documentary films, symposia, print publications, educational materials, and 
more. Ethnographic research and documentation are fundamental to all of its 
products and anchor its active engagement in high-profile international cultural 
heritage policy forums. Its Ralph Rinzler Folklife Archives and Collections house, 
preserve, and provide access to its world-class collections. Professional training 
efforts offer opportunities for more than 100 interns each year (155 in 2011) and 
host advanced study Fellows from countries around the world. 

For FY 201 3, the budget estimate includes an increase of $1 2,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item and $106,000 for rental costs of existing space. Both of these increases 
are detailed in the Fixed Costs section. 

MEANS AND STRATEGY 

Research, production capacity, and entrepreneurial resource leveraging 
are key to the CFCH's means of accomplishing its core mission. Earned 
revenues are used to employ half of its staff, create its public products, and 
deliver them to a broad national and international public of tens of millions. 
Institutional collaboration and major public impact nationally and internationally 
are also key to fulfilling its mission. Institutional collaborations (more than 100 
partnerships in the past three years), fund raising, and mission-driven business 
activities leverage the Center's modest federal investment many times over to 
reach millions of people per year through the Smithsonian Folklife Festival (one 
million visitors plus tens of millions via the media and press), Smithsonian 



81 



Folkways Recordings (more than 10 million listeners via recordings, radio 
programs, downloads, and streams), websites (4.5 million visits), and other 
products. The CFCH also periodically applies its event production capacity to put 
on other major, national cultural events consistent with its mission, such as the 
National World War II Reunion, the First Americans Festival for the opening of 
the National Museum of the American Indian, and programs for the Olympic 
Games and Presidential inaugurations. 

In 2012 and 2013, the CFCH will collaborate with at least eight 
Smithsonian units, 25 nonprofit organizations, and five foreign countries to create 
and deliver programmatic content. The 2012 Folklife Festival will celebrate the 
150th anniversary of the Morrill Act creating land-grant universities, and explore 
the mutually beneficial relationship between campus and community, featuring 
more than 1 8 American universities. It will also mark the 30th anniversary of the 
discovery of the AIDS virus and the cultural traditions that have contributed to its 
avoidance and management. In addition, a rich diversity of evening concerts will 
add a cultural panorama of performing arts from the United States and at least 
three foreign countries. The 2013 Festival will mount three major programs: The 
Will to Adorn: African American Dress and the Aesthetics of Identity, partnering 
with the National Museum of African American History and Culture to explore a 
wide range of African American expressive traditions; Endangered Languages 
Around the World, calling public attention to the major threat to the majority of the 
world's 7,000 languages in this century; and Hungary, an exploration of 
Hungary's diverse cultural traditions of today. Also in 2012 and 2013, the CFCH 
will further harness the power and reach of the Web to broaden access to 
Festival content far beyond the Mall through programmatic features preceding, 
during, and following the 10-day Mall event. The CFCH will accomplish this by 
unveiling a more interactive and improved version of its websites, aggressively 
aiming in 2012 to increase visits to all of its websites by one million, for a total of 
5.5 million. 

Smithsonian Folkways Recordings will release more than 35 productions 
in 2012 and 2013, among them two major initiatives: a multi-CD set of Woody 
Guthrie's music on the occasion of the 100th anniversary of his birth; and a multi- 
recording initiative presenting traditional musical styles of the banjo. Also, it will 
complete its 10-volume series on music of Central Asia and continue its African 
American Legacy and Tradiciones/Traditions series of African American and 
Latino music. By 2013, it will make available to the public the recently acquired 
UNESCO collection of more than 1 00 albums of traditional music from dozens of 
countries around the world. Folkways will continue to extend its reach to millions 
more listeners, distributing its 3,000 album titles and 45,000 tracks of audio to 
teachers, students, scholars, and the general public. Digital distribution will 
expand further, opening new horizons for the creation and delivery of the 
Center's educational content via downloadable streams, "podcast" feeds, and 
multi-media video features. Folkways will also bolster its million-plus circulation of 
digital content from non-Smithsonian websites such as iTunes U. It will expand 



82 



its collaboration with a private partner to deliver the entire Folkways collection to 
more than 425 libraries throughout the continent and beyond. The Musica del 
Pueblo virtual exhibition will expand its offerings of American and Latin American 
content by featuring even more video and audio recordings as well as text from 
and about Latino roots musical traditions. This mission-critical content will also 
generate additional revenues through online and retail sales. 

Center curators and research staff will continue to publish books, articles, 
and Web features, and make professional presentations at gatherings of 
specialists. One special book in progress will explore curatorial challenges, 
approaches, and highlights via the Smithsonian Folklife Festival. The CFCH's 
Cultural Heritage Policy team will continue its vital participation in U.S. and 
UNESCO cultural heritage policy formulation through consultation with the 
U.S. Department of State, cooperative work with UNESCO, and collaborations 
with other national and international organizations. 

The yield from ethnographic research and multi-media primary sources 
will add to the Ralph Rinzler Folklife Archives and Collections' strategically 
important holdings of music and cultural traditions from the United States and 
around the world. The Folklife Archives will tackle two principal challenges in 
2012 and 2013 — receiving a plethora of incoming ethnographic research, and 
assessing, cataloguing, preserving, and making available endangered, valuable, 
multi-media holdings through sharp prioritization of delicate and critical 
collections materials. Its work will be supported by a $335,500 grant from the 
Save America's Treasures program to digitize and preserve the entire Moses and 
Frances Asch collection of recordings and documentation, recognizing the 
national and international prominence of the Folkways collections. 

Through these activities, the CFCH will take major steps to fulfill the 
Smithsonian Grand Challenges of Understanding the American Experience and 
Valuing World Cultures. The CFCH will contribute to the Smithsonian's goal of 
Mission Enabling by taking special measures to provide for the security and 
safety of people and property on the National Mall during the Festival period, and 
for equipment collections in need of adequate storage year-round. The Center 
will also continue to improve its information technology infrastructure and related 
project budgeting and planning. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits of personnel. Donor/sponsor-designated funds cover costs related 
to specific projects such as the Smithsonian Folklife Festival and several other 
educational programs. Income from sales of Smithsonian Folkways Recordings 
pays staff salaries and expenses. In 201 1 , more than $4.4 million was raised in 
outside revenues, grants, and contracts. The CFCH is part of the planned 
Smithsonian National Campaign, with a goal of raising private funds to support 
the mission of the Center. 



83 



COOPER-HEWITT, NATIONAL DESIGN MUSEUM 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


32 


4,051 


25 


3,746 


13 


5,885 





104 


FY 2012 
ESTIMATE 


33 


4,207 


26 


3,950 


13 


5,593 





260 


FY 2013 
ESTIMATE 


33 


4,240 


26 


3,950 


13 


5,593 





260 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the humanities 


4 


325 


4 


330 





5 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


1 


90 


1 


100 





10 


Public Programs 














Provide reference services and information 


1 


120 


1 


120 








Exhibitions 














Offer compelling, first-class exhibitions 


4 


295 


4 


300 





5 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


3 


250 


3 


250 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


7 


1,622 


7 


1,630 





8 


Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient operation of 
Smithsonian facilities 


8 


885 


8 


885 








Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


1 


167 


1 


167 








Management Operations 














Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


1 


105 


1 


105 









84 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Modernize the Institution's financial management and 
accounting operations 


2 


268 


2 


268 








Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and with 
federal, state, and local governments 


1 


80 


1 


85 





5 


Total 


33 


4,207 


33 


4,240 





33 



BACKGROUND AND CONTEXT 

Cooper-Hewitt, National Design Museum (CHNDM), in New York City, is 
one of two Smithsonian museums located outside of Washington, DC. CHNDM is 
the only museum in the nation dedicated exclusively to historic and contemporary 
design. Its collection is international in scope and encompasses 217,000 objects 
representing 24 centuries of design, from China's Han Dynasty (200 B.C.) to the 
present. The Museum presents compelling perspectives on the impact of design 
on daily life through active educational programs, exhibitions, and publications. 

As the design authority of the United States, CHNDM's programs and 
exhibitions demonstrate how design shapes culture and history — past, present, 
and future. To achieve the Institution's goals of Broadening Access and 
Revitalizing Education, the Museum will continue its dynamic exhibition 
programming and active roster of educational and public programs, as well as 
expand the number of programs offered in venues outside the New York 
metropolitan area in 2013. Together, these programs will help CHNDM engage 
larger, more diverse audiences, and fulfill its mission to serve as a catalyst for 
design education, throughout the nation and internationally. 

The Museum devotes resources to ensure the advancement of knowledge 
in the humanities by fostering a greater understanding of the role of design in 
everyday life and its impact on shaping the built environment of the past, present, 
and future; and to encourage the "by-products" of design thinking — such as 
creative problem solving and team work — in other disciplines and areas of life, 
through interactive, engaging in-person and online experiences. 

For FY 2013, the budget estimate includes an increase of $19,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. In addition, CHNDM requests $14,000 to support lease costs. Both of 
the above increases are included in the Fixed Costs section. 

MEANS AND STRATEGY 

In FY 201 3, Cooper-Hewitt's 91 st Street facility will remain closed to the 
public due to major renovations. This will require the Museum to secure off-site 
locations to present exhibitions and provide educational opportunities. This 
period of time during the renovation has been coined "On the Move." 



85 



To achieve the goal of Broadening Access, CHNDM will concentrate its 
resources on maintaining a world-class exhibition program, physical and virtual, 
that will attract diverse audiences and provide visitors with a balance of historic 
and contemporary design shows. 

During the spring of 2013, CHNDM will present MOD New York, an 
exhibition co-organized with the Museum of the City of New York (MCNY). It will 
be installed at MCNY. MOD New York will celebrate New York City's role as a 
center of revolutionary style from the 1960s through the early 1970s, when 
people converged in New York from around the world to push the leading edge of 
culture. From fashion design to products, architecture, graphics, and interiors, 
designers explored new materials, radical shapes, and global influences, 
embracing the curves and rhythms of a rapidly changing world. 

CHNDM resources will continue to support the strategic goal of Excellent 
Research, ensuring the advancement of knowledge in the humanities through 
exhibition-related scholarly research to create the most innovative and 
educational exhibitions for the public. 

In addition to the exhibition planned for FY 2013, the Museum will be 
working on several exhibitions for the late fall of 2013 grand re-opening of the 
Museum — Design Across the Smithsonian, This is Design, Maira Kalman 
Selects from the Collection, and History of the Carnegie Mansion, among others. 
The Museum will also be working on several publications to accompany these 
exhibitions — a collections handbook; a design book for children, written and 
illustrated by Maira Kalman; a K-12 education textbook; and a book on the 
Carnegie Mansion. 

To achieve the goal of Strengthening Collections, the Museum will 
catalogue and put an additional 3,000 objects in the electronic collections 
information system and on the Web by the end of FY 2013. The Museum will also 
continue to support an on-site graduate program with the New School/Parsons on 
the history of decorative arts and design, which will enable students and scholars 
to access objects in CHNDM's collections. 

CHNDM will achieve the goal of Revitalizing Education by continuing to 
engage and inspire diverse audiences through continual national outreach 
efforts. Cooper-Hewitt offers a wide variety of educational opportunities and 
programs, most of which are free. The goal across all of the programs is to 
engage K-12 students in the design process through active observation, critical 
discussion, creativity, and presentation. The programs foster collaboration 
among students, teaching them how to work in teams, and to define problems 
and find solutions, while improving their verbal and written communication skills. 
During the time Cooper-Hewitt is "On the Move" and unable to host school 
groups, it will bring design workshops into classrooms across New York City and 
other off-site locations. 



86 



The Museum will also continue to offer an expanded Smithsonian Design 
Institute program nationally as well as in New York City. This program is geared 
to K-12 educators and draws a steadily increasing national and international 
audience each year. In 2013, special emphasis will be placed on using the 
design process to enhance science, technology, engineering, and math (STEM) 
skills. 

CHNDM hopes to make its educational opportunities available to a 
broader audience in FY 201 3 through greater use of the World Wide Web. In 
particular, the Museum plans to devote resources to increasing the accessibility 
of its educational programs through its website for K-12 teachers, 
(www.educatorresourcecenter.org), through increased components of the City of 
Neighborhoods educational programs and Smithsonian Design Institute 
educational programs to support the growing network of program participants 
and to make program resources available to broader audiences. The Educators' 
Resource Center is a website that uses downloadable lesson plans aligned to 
national standards to show K-12 teachers how design-based learning works with 
diverse learning styles. These online tools provide educators with the resources 
they need to engage in the design process and use it effectively in their 
classrooms. 

To further the Smithsonian's goal of Mission Enabling, CHNDM will 
enhance its reputation, and that of the Smithsonian, by continuing to secure 
significant media coverage across national and international print and digital 
platforms such as The New York Times, The Washington Post, and The Wall 
Street Journal, as well as general interest publications and those relating to all 
fields of design. Cooper-Hewitt will maintain and cultivate substantive 
relationships with the public, its existing membership community, state and local 
governments, children, educators, business leaders, and designers. 

Mission Enabling support goals will be achieved through reviews of on-site 
and off-site storage, redesign of CHNDM's website to create a world-class online 
resource for design education, and streamlined financial systems to improve the 
efficiency of the procurement process. Additionally, the Museum has embarked 
upon an ambitious two phase renovation project. 

Phase One, (Townhouse) of the Museum's renovation was completed in 
201 1 . The renovation provides a new public entrance on East 90th Street for 
direct access to a modernized National Design Library with two reading rooms 
and a rare book facility. The renovated space also includes curatorial and 
administrative offices, and an additional classroom. 

Phase Two, Museum (Carnegie Mansion) renovation, which began in 
FY 2012, will increase exhibition space with a spectacular new third-floor gallery, 
restored historic fabric, and greater access to the Museum's collections through 



87 



the new This is Design exhibition, which will fill the first-floor galleries with 
highlights from the collections, and will include some interactive components. 

The renovation is a critical project that will enable the Museum to play an 
important and vibrant role locally and globally. After the renovation, it is estimated 
that the Museum will experience 1 00 percent growth in the number of students 
participating in Cooper-Hewitt's programs, and surpass 300,000 visitors to the 
Museum per year. Only with renovated and improved facilities will Cooper-Hewitt 
be able to accommodate this growth and fulfill its mission as the nation's design 
education resource and authority for design enthusiasts of all ages. 

NONAPPROPRIATED RESOURCES — Non-appropriated resources support 
70 percent of the Museum's operating budget. General trust funds are generated 
from memberships, Museum shop sales, admissions, special events, and 
unrestricted donations. General trust funds support salaries and benefits of 
administrative personnel, development and business activities, and other 
program-related costs. The Museum also raises funds from private sources to 
support research, exhibitions, public programs, and administrative functions. This 
includes securing donations for new exhibitions, educational initiatives, and 
public outreach. Donor/sponsor-designated funds are critical to support 
exhibitions and educational initiatives. In addition, significant endowment gifts 
support research, exhibitions, public programs and administrative functions. The 
Museum embarked on a Capital Campaign and has achieved the $54 million 
renovation goal, and 70 percent of its $10 million endowment goal. A public- 
private partnership supports the Museum with private funds contributing one and 
one-half dollars for every federal dollar spent. Every member of the Museum's 
Board of Trustees has contributed to the campaign, and both New York City and 
New York state are also supporting the campaign. 



88 



HIRSHHORN MUSEUM AND SCULPTURE GARDEN 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


37 


4,347 


1 


1,153 


24 


4,880 








FY 2012 
ESTIMATE 


37 


4,349 


1 


1,153 


24 


7,010 








FY 2013 
ESTIMATE 


37 


4,370 


1 


1,153 


24 


7,010 









STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the humanities 


2 


294 


2 


294 








Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


1 


117 


1 


117 








Public Programs 














Provide reference services and information 


2 


284 


2 


284 








Exhibitions 














Offer compelling, first class exhibitions 


12 


1,492 


12 


1,493 





1 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


4 


453 


4 


453 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


9 


1,111 


9 


1,111 








Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient operation of 
Smithsonian facilities 


1 


92 


1 


92 








Management Operations 














Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and with 
federal, state, and local governments 


2 


162 


2 


162 








Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


1 


75 


1 


75 









89 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Modernize the Institution's financial management and 
accounting operations 


2 


203 


2 


213 





10 


Modernize and streamline the Institution's acquisitions 
management operations 


1 


66 


1 


76 





10 


Total 


37 


4,349 


37 


4,370 





21 



BACKGROUND AND CONTEXT 

The Hirshhorn Museum and Sculpture Garden (HMSG) is a leading voice 
for contemporary art and culture, and provides a national platform for the art and 
artists of our time. The Museum seeks to share the transformative power of 
modern and contemporary art with audiences at all levels of awareness and 
understanding by creating meaningful, personal experiences in which art, artists, 
audiences, and ideas converge. The HMSG enhances public understanding and 
appreciation of contemporary art through acquisition, exhibitions, education and 
public programs, conservation, and research. 

The Museum allocates resources to further the Institution's goals so that 
progress toward one goal supplements work toward the others. For instance, 
through its efforts to pursue the goal of Excellent Research, the HMSG has 
developed a deep expertise in the conservation of time-based media works that 
are at the forefront of contemporary art, and this knowledge enables the Museum 
to sustain these works under the goal of Strengthening Collections, and to 
display these works in compelling exhibitions under the goal of Broadening 
Access. 

The HMSG dedicates a significant portion of its resources to the 
Institution's goal of Broadening Access, primarily through its presentation of 
insightful, deeply researched exhibitions of modern and contemporary artists, 
many of them with novel thematic interpretations that win critical and public 
acclaim. The HMSG supplements these exhibitions with an active roster of public 
programs, critical essays, and carefully selected images in original catalogues, 
and through continued progress in digitizing images of every work in the 
collection and posting them to the Museum's website. 

The Museum's extensive collection is central to its purpose, and, pursuant 
to the Institution's goal of Strengthening Collections, the HMSG dedicates 
another substantial portion of its resources to the preservation of its thousands of 
artworks. Moreover, the HMSG makes these artworks available to museums 
around the country with a very active loan program, and lends staff expertise on 
conservation matters to arts organizations around the globe. 

The Museum contributes to the goal of Revitalizing Education with 
numerous educational programs, including a gallery interpretive guide project 
that is adapted to audience areas of interest and ongoing research from many 



90 



fields of contemporary culture, and efforts to bring senior, non-museum 
education professionals into programs where they can expand on the HMSG's 
didactic approaches. The Museum pursues the goal of Mission Enabling by 
constantly improving its financial and administrative management tools and 
procedures. 

For FY 201 3, the budget request includes an increase of $21 ,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

In FY 2013, Excellent Research continues as the Museum develops a 
major public forum on the intersections of art, design, technology and education, 
featuring international subject-matter experts and an interactive online 
component effectively extending participation to audiences far beyond the walls 
of the Museum. Also, the Museum will expand its series of online and on-site 
programs dealing with the role of technology and new media in contemporary art 
and museum culture. 

In FY 201 3, exhibitions will remain at the forefront of the Hirshhorn 
Museum and Sculpture Garden's missions to broaden access to the arts and, 
specifically, to increase public understanding and engagement in the 
transformative power of modern and contemporary art. 

The Museum will open the year with a major exhibition of recent work by 
Chinese artist Ai Weiwei. This large, multi-media exhibition, which will be a 
collaboration with the Mori Museum in Tokyo, Japan, and the Cincinnati Art 
Museum, will introduce American museum-goers to the beautiful and 
intellectually poignant work of one of China's most significant and influential living 
artists. This will be followed by another major exhibition called Damage Control: 
Art and Destruction since 1950. The Museum's chief curator, Kerry Brougher, will 
organize and oversee this show. 

The Museum's distinctive Directions series will continue, in FY 2013, to 
feature work by important emerging national and international artists. Potential 
collaborations currently under consideration include projects with Peter Coffin, 
Antonio Rovaldi, Sharon Lockhart, Sarah Morris, David Claerbout, and 
Rafael Lozano-Hemmer. A continuing series of moving-image artworks by 
emerging national and international artists will also be displayed in the Museum's 
dedicated Black Box gallery space. All exhibitions presented in FY 2013 will be 
complemented by a combination of public tours led by interpretive guides, 
docents, and invited specialists, lectures and other public programs, and 
brochures, catalogues, and online educational resources. 



91 



Substantial planning and development will continue in FY 2013 for major 
exhibition projects opening in upcoming years, including: a thematic survey of the 
imagery and processes of destruction in international, postwar art; a survey of 
the role of the landscape in American, 20th-century abstract art; a thematic 
exploration of animation and new moving-image technologies in art; and a major, 
historical, international survey of surrealist sculpture. The Museum will also move 
ahead in FY 2013 with plans for a large-scale exhibition in FY 2014, celebrating 
the Museum's 40th anniversary with a thematic exhibition project highlighting the 
Museum's collection and exploring the role and meaning of the art museum in 
21st-century society. 

Two major commissions for FY 2013 with important American artists 
further the Museum's longstanding commitment to creative collaboration with 
contemporary artists. Early in the year, renowned American conceptual artist 
Barbara Kruger will transform the public areas of the Museum's lower level with a 
dramatic, customized overlay of text and images. 

With a newly redesigned website, one that starts with the methods of 
social media rather than merely accommodating them, the Museum will further 
the goal of Broadening Access by engaging with local and remote audiences as 
they draw in information with individualized knowledge portals. HMSG will also 
refine its communication procedures to diffuse deep knowledge of contemporary 
art and culture, whether presented in the Museum or elsewhere, and not merely 
chatter about events. The Museum will still publish original catalogues to 
complement the viewing of its exhibitions and produce other books that examine 
design and cultural shifts of the early 21st century. 

The Museum will support Revitalizing Education with a range of programs 
geared toward people with varying levels of art experience and cultural interests, 
and by expanding or revising the concept of a museum as a center of learning. 
One or more working artists will design and lead Artist at Work with Youth 
workshops for elementary school-aged children, with three sessions in both the 
fall and spring. Artists will also present their ideas and inspirations to people of all 
ages in the "Meet the Artist" programs and "In Conversation" interviews and 
panel discussions. The Museum will draw upon a wide pool of artists, 
researchers, and experts from unexpected fields to provide interpretive tours in 
Friday Gallery Talks, and it will present Washington's most thought-provoking 
film series, portraying art and critical thought from independent artists and 
documentary film makers from around the world. In concert with major 
educational foundation sponsors, HMSG will expand the ARTLAB+ program, a 
design studio for teens that hosts workshops where teens learn and explore 
using digital media. The Museum will sustain its "Interpretive Guides" program, 
which brings advanced art students into the galleries to aid visitors' critical 
experience with art on display, and which develops the students' own education 
objectives and teaching skills. Finally, the Museum's signature "After Hours" 



92 



programs will once again provide the nation's capital with high-energy, live 
musical performances and extended hours for the exhibition galleries. 

In FY 2013, the Museum's main action toward Strengthening Collections 
will continue be its multi-year project to shift approximately 50 percent of the 
permanent collection to a secure storage location at the Museum Support Center 
(MSC) in Suitland, Maryland. The ongoing move is intended to be completed in 
FY 2013 and will improve the storage conditions of permanent collection artworks 
both at HMSG and MSC, as well as make the breadth of the collection more 
accessible to Smithsonian museums and visiting museum professionals from 
around the world. Further developing itself as a center for research and 
preservation of time-based media (e.g., film, digital video and audio) artworks, 
the HMSG will present the symposium TechFocus II with partner institution, the 
American Institute for Conservation of Historic and Artistic Works. 

Efforts to photograph and catalogue the entire permanent collection will be 
brought to near completion, a project supported by conservation surveys of 
select works in specialized media, and bringing ever more of the collection to the 
public via extensive search features on the Museum's public website. Pending 
completion of space redesign plans for the Museum's lower level in late FY 201 1 , 
work will begin on upgrading and expanding the conservation laboratories. 

Under the goal of Mission Enabling, the Museum will continue to pursue 
capital projects that merge the functional with the artistic through the inclusion of 
artists and designers with central Smithsonian engineering. The Museum will 
continue to refine its public spaces for visitors who apply mobile technology in 
every facet of life, and expect access to Web-based knowledge and social media 
platforms to enliven their interpretive experience as they explore Museum 
galleries. The HMSG administration will institute long-range program planning 
reviews to improve resource allocation, funds management, and more effective 
cost sharing of major exhibitions and programs with outside organizations. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits of administrative and development personnel, as well as some 
programs and public relations staff, development activities, and exhibition and 
program-related costs. Donor/sponsor-designated funds support development, 
exhibitions, public programs, communications, and marketing. 



93 



NATIONAL MUSEUM OF AFRICAN ART 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


27 


4,452 


2 


570 


2 


784 








FY 2012 
ESTIMATE 


27 


4,284 


3 


601 


2 


784 








FY 2013 
ESTIMATE 


27 


4,303 


3 


601 


2 


784 









STRATEGIC GOALS: EXCELLENT RESEARCH, BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Engage in research and discovery 


3 


463 


3 


463 








Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


1 


112 


1 


112 








Public Programs 














Provide reference services and information 


4 


514 


4 


514 








Exhibitions 














Offer compelling, first-class exhibitions 


8 


1,321 


8 


1,340 





19 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


4 


526 


4 


526 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


3 


693 


3 


693 








Mission Enabling 














Information Technology 














Modernize the Institution's information technology systems 
and infrastructure 


1 


156 


1 


156 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


3 


499 


3 


499 








Total 


27 


4,284 


27 


4,303 





19 



94 



BACKGROUND AND CONTEXT 

Africa — the cradle of humanity — is part of everyone's heritage. The 
mission of the National Museum of African Art (NMAfA) is to inspire conversations 
about the beauty, power, and diversity of African arts and cultures worldwide. The 
Museum's vision is to be the world's leading center of scholarly and artistic 
excellence on the arts of Africa. The Museum accomplishes its mission and vision 
through effective use of its unparalleled collections, exhibitions, programs, 
publications, and educational initiatives, which will be widely accessible and 
strengthened through collaborations with African, diasporic, and global arts 
communities. The Museum collects and exhibits ancient to contemporary works of 
art from the entire continent of Africa. NMAfA's activities and programming support 
the Grand Challenges of the Smithsonian's Strategic Plan, particularly in the areas 
of Valuing World Cultures and Understanding the American Experience. 

To achieve the goal of Broadening Access, the NMAfA dedicates resources 
to the Web and to the Museum's social media capabilities, integrates digital 
technology in exhibitions, provides online educational resources, and promotes 
public access to the Museum's art and photographic collections. A key component 
of Museum operations is the creation of temporary and semi-permanent 
exhibitions of artworks from its own collection and from other museum and private 
collections. In FY 2013, the NMAfA will have two concurrent exhibitions on view, 
featuring works from the permanent collection, one of which is temporary and 
includes a publication. An FY 2012 temporary exhibition featuring traditional and 
contemporary art — much of it from the Museum's collection — includes a 
publication and continues through the first quarter of FY 2013. In addition, in 
FY 2013, the Museum will present three temporary exhibitions (two of 
contemporary art, and one that mixes traditional and contemporary art) all 
organized by the Museum and including publications. 

Of the NMAfA-organized exhibitions, one includes a publication and 
features photographs from the Museum's Eliot Elisofon Photographic Archives and 
objects from the art collection. The second, also accompanied by a publication, 
includes a mixture of Museum and loan objects, both traditional and contemporary, 
exploring African cultural astronomy and the arts. The third, which also includes a 
mixture of Museum and loan objects, both traditional and contemporary, explores 
the earth as material and metaphor in the arts of Africa; it is also accompanied by 
a publication. The fourth, which includes a publication and has been developed by 
the Museum in collaboration with a guest curator, features the work of Moroccan 
artist Lalla Essaydi, showing paintings and photographs drawn from other 
museums and private collections. The fifth exhibition, which is developed by the 
Museum in collaboration with a guest curator, features recent photographs by 
South African photographer Roger Ballen; it includes a publication. Finally, the 
Museum's sixth exhibition, African Mosaic, features traditional, contemporary, and 
popular arts of Africa from the Museum's permanent collection; it does not include 
a publication other than a "How to Look" guide. The Museum will not host any 
touring exhibitions in FY 2013; however, the Museum will seek venues for all five 
temporary exhibitions noted above. A number of these exhibitions will extend into 

95 



FY 2014. In addition, the NMAfA will help plan a reinstallation of selected artworks 
from the Walt Disney-Tishman African Art Collection, as well as develop exhibition 
plans for a renovated gallery space on the Museum's third level. 

The NMAfA will present new educational programs online, continue to 
catalogue objects and images from its collections for online access, and expand its 
outreach to local communities and underserved or new audiences, particularly 
African immigrant communities and young adult audiences. In keeping with the 
Smithsonian's Strategic Plan, the NMAfA will forge meaningful collaborations 
within and outside the Smithsonian, and strengthen its networking nationally and 
internationally — particularly on the continent of Africa. 

The NMAfA will achieve its goal of Broadening Access through 
organizational excellence by continuing to improve information technology (IT) 
operations, staff performance, and media relations and marketing. A 
comprehensive IT plan will integrate all of the Museum's IT operations. A media 
and marketing strategy, renewed annually, will expand the Museum's visibility and 
membership, and promote its programs locally, nationally, and internationally. A 
fundraising plan, renewed annually, will enhance the Museum's capacity to offer 
outstanding exhibitions, publications, programs, and outreach. Furthermore, the 
Museum will continue to assess its effectiveness in reaching out to educators, 
scholars, and the public through continued use of visitor surveys and other 
performance evaluation tools. 

FY 2013 will see advances in the Museum's operational plan, which 
complements the NMAfA's strategic plan that was completed in FY 201 1 . As a 
way to establish the staff as stakeholders in the success of the NMAfA, the goals 
of the Museum's strategic plan and the Secretary's goals will continue to be 
integrated into the performance plans of all staff members. Emphasis will be on 
public visibility and customer-centered performance. At the same time, quality 
programming and ongoing research will continue to be the foundation for all 
NMAfA programs, including exhibitions. 

The Museum will continue to increase its public visibility and fulfill its 
mission to various stakeholders, including students, teachers, cultural community 
organizations, the diplomatic corps, African immigrant groups, scholars, collectors, 
and volunteers located in the metropolitan Washington, DC area. An enhanced 
Web presence and social media capabilities will expand the Museum's visibility 
and impact nationally and internationally. 

For FY 2013, the budget estimate includes $19,000 for necessary pay and 
other related salary costs for existing staff funded under this line item. 

MEANS AND STRATEGY 

The NMAfA will achieve the goals of Broadening Access and Revitalizing 
Education by directing resources to activities that will result in consistently high- 
quality programs and larger audiences. In FY 2013, the Museum will provide 

96 



greater Web and digital access to NMAfA collections through enhanced navigation 
features via eMuseum and multi-media applications, and by completing additional 
image and object catalogue records for the Museum's public access database. 
The Museum's website will be revised and expanded to include additional 
podcasts, blogs, Facebook and Twitter options, online educational resources, 
activities for younger audiences, and an expanded Web presence for the 
Eliot Elisofon Photographic Archives. 

Funding and staff permitting, the NMAfA will continue to seek visitor 
feedback on exhibitions and programs, and implement performance assessments 
of its public programs. In anticipation of the development of a gallery devoted to 
the permanent collection, the Museum will begin to hold "town hall" meetings with 
teachers of primary, secondary, and college students, as well as representatives 
from the Museum's African Immigrant Advisory Group and local community 
groups, to solicit input for future exhibitions and activities. These efforts will result 
in more effective planning and development of programs and services which will 
enable the Museum to successfully reach its target groups and expand its 
audience base. In addition, marketing strategies will be reviewed and tested to 
determine the most effective ways to engage and communicate with diverse 
audiences. 

Ongoing educational programs will include "Africa in Motion" musical and 
dance performances, programs geared to younger visitors and family groups, such 
as "Let's Read About Africa," storytelling and art-making activities, exhibition-related 
teacher/student workshops, and an annual Community Day. The NMAfA will also 
use lectures, gallery tours, and film series based on the Museum's current 
exhibitions to attract mixed-generation audiences. For adult audiences, the Museum 
will continue its highly successful film and lecture series, drawing on current 
exhibitions and featuring noted scholars and artists. 

The Museum will continue its quarterly Conservation Clinics to educate the 
public about conservation and the important relationships linking science, 
technology, and art. Ongoing quarterly Curatorial Clinics will continue to provide 
opportunities for members of the public to learn about African art forms, styles, 
materials, and contexts of use as part of museum connoisseurship and object quality 
assessments. To educate casual and serious collectors of African art, the Museum's 
website will be expanded to include helpful tips on object identification, assessment, 
and care. 

To achieve the goal of Strengthening Collections, the Museum will continue 
online cataloguing of its art and photographic collections; the NMAfA's priorities 
will continue to be the Walt Disney-Tishman African Art Collection and the 
Eliot Elisofon Photographic Archives. Digital access to these materials will facilitate 
research and study by students, teachers, scholars, conservators, and the general 
public. The Museum will continue its efforts to integrate contextual photographs 
from the Eliot Elisofon Archives with related objects in the collection. 



97 



The Museum's Walt Disney-Tishman Highlights exhibition will close in the 
third quarter of FY 2012 to prepare the gallery for a temporary exhibition opening 
at the start of FY 2013 of photographs from the Eliot Elisofon Photographic 
Archives. The FY 201 1 exhibition African Mosaic, which features selected 
highlights from the Museum's acquisitions over the last decade, will continue 
through FY 2013 and into FY 2014, although plans will be developed to transition 
this exhibition into a gallery devoted to the permanent collection but featuring 
changing cases and rotating themes. African Cosmos: Stellar Arts, a major 
exhibition that opened in FY 2012 and features traditional and contemporary 
artworks drawn from the Museum's collections, will continue through part of 
FY 2013. The FY 2012 exhibition Lalla Essaydi: Revisions, featuring the work of 
Moroccan artist Lalla Essaydi and developed by the Museum in collaboration with 
a guest curator, will continue through part of FY 2013. 

Three new and innovative exhibitions organized by the Museum are slated 
to open in FY 2013. Chief S.O. Alonge: Photographer to the Court of Benin, 
1926-1989 will celebrate the history of Nigerian photography with a special focus 
on the Museum's collection of photographs by one of Nigeria's early premier 
photographers. As an official photographer for the Royal Court of the Benin 
Kingdom, Alonge documented the rituals, pageantry, and regalia of the court for 
more than a half century. The exhibition, drawn from the collection of the 
Eliot Elisofon Photographic Archives, will feature selected photographs and other 
materials that explore the history of photography in Nigeria, with a concentration 
on Alonge's contributions. The exhibition and accompanying publication, which 
will be developed and authored by the Museum's supervisory archivist in 
collaboration with an NMAfA curator and an outside scholar, will also highlight 
works of art from the court of Benin in the Museum's permanent collection and 
rare collections of Nigerian photography in the Museum's Eliot Elisofon 
Photographic Archives. 

Six months later, the Museum will open Earth Matters: Land as Material and 
Metaphor in the Arts of Africa, a groundbreaking exhibition featuring some 100 
works of traditional and contemporary African art, including many works from 
NMAfA's permanent collection. The exhibition explores African knowledge of the 
land and how African cultures draw on the earth as symbol and metaphor, 
particularly in the visual and performing arts. The exhibition will be accompanied 
by a major publication, authored by one of the curators, and with contributions by 
selected scholars and artists. Several months later, the Museum will open Drawing 
and Collaboration: Recent Photography by Roger Ballen, a contemporary 
exhibition with a publication organized by the Museum in collaboration with a guest 
curator. The exhibition of approximately 50 photographs explores the artist's use 
of drawing to create photographs which are both expressive and gestural and 
result from a collaborative endeavor with others. The Museum will not host any 
loan exhibitions in FY 2013. 

During FY 2013, the Museum will devote staff resources to the planning of 
exhibitions in FY 2014 and beyond, including the reinstallation of 60 works from the 
Walt Disney-Tishman African Art Collection. Staff members will also devote 

98 



considerable effort to planning the installation of a reconfigured gallery devoted to 
the Museum's permanent collection. This long-term display of selected works from 
the NMAfA's permanent collection will attract general audiences, collectors, and 
scholars, as well as local school groups that rely on consistently available works of 
art for their themed tours and curriculum projects. In FY 201 3, the Museum will 
continue to develop rotating exhibitions from the permanent collection for the small 
Point of View gallery, when it is not in use for large contemporary exhibitions. The 
Museum will also prepare for the FY 2014 opening of Artists in Dialogue 3, a 
signature exhibition that will bring two contemporary artists and their selected works 
into dialogue with each other, and Divine Comedy, a major contemporary exhibition 
organized by the Museum in collaboration with a guest curator. Finally, the Museum 
will host a meeting of artists and scholars to develop plans for an FY 2015 exhibition 
focused on African women artists. 

In FY 2013, the NMAfA will develop a schedule to deaccession works from the 
art collection. Additionally, the Museum will continue to assess and refine the FY 2012 
move of selected works from the permanent collection to off-site storage in Pod 3 of 
the Museum Support Center. 

To address the goal of Broadening Access, the NMAfA is focusing resources 
in several areas: IT operations, staff performance and accountability, and relations 
with the media. The Museum's IT plan has integrated information technology 
functions for administration, collections management, exhibitions, and public access. 
The IT plan will be reviewed on an annual basis, with updates made as needed. 
Museum administrators will use the five-year strategic plan and feedback from visitor 
surveys to conduct annual reviews and updates to the NMAfA's operational plan that 
ensure quality public programs and experiences for all audiences. 

Accountability is being achieved by integrating the NMAfA's strategic goals 
and operational plans and the Secretary's annual goals into performance plans for 
all Museum staff members. In addition, personnel and programmatic management 
responsibilities have been incorporated into the performance plans of all 
department heads to provide more effective programs, activities, and relevant 
projects that meet the expectations of the Museum's audiences and visitors. 
Educational brochures and special websites will increase the educational value of 
NMAfA exhibits. The Museum intends to forge better relations with media, 
corporations, foundations, community interest groups, and congressional 
representatives by expanding its contact base and distributing more information 
about the Museum. 

NONAPPROPRIATED RESOURCES — General trust funds support staff 
salaries, benefits, and travel. Funds raised from individual and corporate donors 
will support NMAfA's major exhibition efforts in FY 2013, including exhibition- 
related publications, educational programming, and outreach. Corporate and 
foundation sponsorships support the planning and implementation of exhibitions, 
including installation expenses and exhibition-related public programming, travel, 
and curatorial collaborations. 



99 



Introduction, Understanding the American Experience 

America is an increasingly diverse society that shares a history, 
ideals, and an indomitable, innovative spirit. The Smithsonian will use 
its vast resources across disciplines to explore what it means to be an 
American and how the disparate experiences of individual groups 
strengthen the country as a whole, and to share our story with people 
of all nations. 

RESEARCH Goal: The Smithsonian advances and synthesizes 
knowledge that contributes to understanding the American experience, 
particularly with regard to its history, art, and culture, as well as its 
connections to the rest of the world. 

ACCESS Goal: The Smithsonian turns knowledge into awareness, 
action, and results, and encourages American cultural vitality. 

UNITS primarily associated with this Grand Challenge: 



Anacostia Community Museum 

Archives of American Art 

National Museum of African American History and 
Culture 

National Museum of American History, Behring Center 

National Postal Museum 

National Museum of the American Indian 

National Portrait Gallery 

Smithsonian American Art Museum 



100 



ANACOSTIA COMMUNITY MUSEUM 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


17 


2,059 


2 


351 





180 


1 


16 


FY 2012 
ESTIMATE 


18 


2,060 


2 


339 





494 





16 


FY 2013 
ESTIMATE 


18 


2,070 


2 


351 





494 





10 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


2 


316 


2 


447 








Ensure the advancement of knowledge in the humanities 


1 


131 


1 


131 








Broadening Access 














Public Programs 














Provide reference services and information 


3 


389 


3 


391 





2 


Exhibitions 














Offer compelling, first-class exhibitions 


3 


389 


3 


393 





4 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


1 


69 


1 


69 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


3 


288 


3 


288 








Mission Enabling 














Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


2 


216 


2 


216 








Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


1 


86 


1 


86 








Modernize the Institution's financial management and 
accounting operations 


1 


88 


1 


92 





4 


Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and with 
federal, state, and local governments 


1 


89 


1 


89 








Total 


18 


2,060 


18 


2,070 





10 



101 



BACKGROUND AND CONTEXT 

Since its inception as the first federally funded, community-based museum 
on September 15, 1967, the Anacostia Community Museum (ACM) has faced 
unique challenges related to mission, resources, and location. In that time, ACM 
has developed into a valuable cultural resource for the region and the country, 
setting a groundbreaking direction in terms of traditional museological thought 
and practice. 

Although the original intent of the Smithsonian's establishment of what was 
initially called the Anacostia Neighborhood Museum was for audience development 
and outreach — to take the Smithsonian's cultural and historical treasures into 
neighborhoods whose residents did not venture to the Mall — residents quickly 
participated in helping to make the Museum relevant to their own experiences. 
Within months of opening, the community rejected the eclectic collection of 
Smithsonian holdings being displayed. The Museum quickly modified its focus to 
engage the predominantly African American local residents (97 percent) in the 
documentation, preservation, and interpretation of history and culture from a 
community-based perspective. It was the. forerunner in using this approach to 
collaborate directly with different sectors of communities, including local museums, 
religious institutions, and arts, cultural, and civic organizations, to mobilize, 
organize, and equip them to research, document, interpret, and preserve their 
cultural heritage through research, education, and training programs. 

Over the past decade, the region has seen subtle but dramatic shifts in 
local demographics. In order to remain relevant to the community, and to sustain 
the Museum's unique standing within the Smithsonian framework, the ACM 
mission and vision were revised in 2008. With input from a broad range of 
stakeholders, the focus of the Museum was revised. The new mission moves 
ACM from a specifically ethnic focus to one that examines issues that impact 
urban communities. ACM is now committed to a mission that will challenge 
perceptions, generate new knowledge and deepen understanding about the 
ever-changing concepts and realities of "community." Now in the forth year of a 
five-year strategic plan (FY 2009-FY 2013) that was developed to ensure 
viability and sustainability in the future, the Museum is focused on the 
documentation and interpretation of the impact of historical and contemporary 
social and cultural issues on Anacostia and other urban communities throughout 
the region, the country, and the world. The Museum's new identity is a return to 
its original charter as a community museum. However, the new direction defines 
the term "community" in much broader terms. 

For FY 2013, the budget estimate includes an increase of $10,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 



102 



MEANS AND STRATEGY 

ACM will continue to work toward accomplishing the Institution-wide goal 
of inspiring generations through knowledge and discovery. ACM will embrace the 
Smithsonian Grand Challenges and use its resources, strengthened through 
collaborative efforts, in research, exhibitions, collections, and public and 
education programs. Using resources that engage the broad range of 
Smithsonian and external partners, ACM will draw upon those things that bring 
groups of people together — social, ethnic, religious, geographic, and other 
commonalities. Specifically, the Museum will work with community partners to 
document and preserve local heritage, identify cultural materials at risk, 
document significant local cultural materials, and develop an interpretation and 
appreciation of them through regionally based educational activities, publications, 
and exhibitions. Through its website, the Museum will disseminate information on 
heritage and community preservation projects. 

The final portion of a three-part exhibition series entitled Call and 
Response: Community and Creativity will take place in 2012 and FY 2013. The 
third segment of this exhibition series, Citified: Creative Acts and the Albus 
Cavus Collective: Neighborhood Palette, will begin installation in various off-site 
community venues in May 2012. This coincides with facility lighting upgrades that 
include all galleries, program spaces, and some work areas. Since the Museum 
will be closed to the public during the capital improvements, ACM's community 
partners — who have been involved with the Call and Response project for more 
than two years — will host portions of the exhibition at locations throughout the 
community and at Mall locations. 

Another major initiative for 2012 and FY 2013 is a series of events 
commemorating the ACM's 45th anniversary. The ACM 45th anniversary 
exhibition, Reclaiming the Edge: Urban Waterways and Civic Engagement, will 
open on September 15, 2012 and will fully reflect the launch of the Museum's 
new, broader mission. Reclaiming the Edge focuses on urban waterways, 
especially rivers, their watersheds, and associated creeks and streams. Based 
upon research on the Anacostia River and its watershed, the exhibit examines 
how people engage with urban rivers in other communities, including 
Los Angeles, Pittsburgh, Louisville, London, and Shanghai. The Anacostia River, 
formerly the Eastern Branch, has long been considered one of the nation's most 
troubled urban rivers. The watershed of the river covers more than 175 square 
miles and is one of the nation's most densely populated. The problems facing the 
Anacostia River are problems that confront other rivers in the industrialized 
world. This exhibit will explore the impact of environmental burdens such as 
pollution, loss of flora and fauna, and resource depletion on urban communities 
as well as the interplay of environmental and social conditions. Reclaiming the 
Edge will therefore examine approaches and solutions on national and 
international levels through the study of civic oversight, community engagement, 
and environmental efforts with the Anacostia River and other waterways. The 



103 



exhibition will also explore cultural and recreational traditions associated with the 
river, as well as health and other issues surrounding the contemporary ecology of 
the river. 

ACM's success with the 201 1 exhibition Word, Shout, Song: Lorenzo Dow 
Turner Connecting Communities through Language garnered tremendous accolades 
and support and, as a result, this exhibition has been traveling since October 201 1 . 
The traveling exhibition has broadened audiences and generated income for the 
Museum. The itinerary for Word, Shout, Song includes: the IP. Stanback Museum, 
South Carolina State University, Orangeburg, SC; The Avery Research Center for 
African American History and Culture, The College of Charleston, Charleston, SC; 
the DuSable Museum of African American History, Chicago, IL; and the New 
Orleans African American Museum in Louisiana. Two additional booking slots are 
still available. 

Several research and collections access initiatives, facilitated by the ACM 
Community Documentation Initiative (CDI), are ongoing. Data collected from the 
CDI real-time documentation of community history (Washington, D.C. Wards 7 
and 8) will be made accessible to scholars, students, and the general public 
through Web-based media. Continued digitization of the ACM archival and 
material culture collections will increase public access to the Museum's holdings. 

Recognizing ACM's unique responsibility to youth development within the 
southeast Washington, DC community and beyond, the Museum Academy 
Program will expand its out-of-school-time programming for elementary and 
middle school students. A second program site is being planned. There will be a 
menu of programmatic activities, from cultural enrichment to educational 
enhancement and career training, which can be tailored to meet the specific 
needs of each collaborative community partner. ACM staff is working with grades 
6-8 of the SEED Public Charter School to develop a curriculum which includes 
use of the Hirshhorn Museum and Sculpture Garden's ARTLab. 

ACM will maintain substantive relationships with state and local 
governments through the regional partnership process. Museum staff will offer 
training and technical assistance to strengthen local, regional, and national 
partners' abilities to preserve local heritage. In addition, the Museum will increase 
its public relations efforts directed toward local, regional, national, and 
international press outlets, and will seek news media coverage in periodicals 
related to its field. 

NONAPPROPRIATED RESOURCES — FY 2013 general trust and augmented 
trust funds support the salaries and benefits of the Museum director, director of 
development, and development officer. These trust funds also support donor 
cultivation and fundraising activities. 



104 



ARCHIVES OF AMERICAN ART 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


15 


1,876 


1 


441 


22 


2,189 





164 


FY 2012 
ESTIMATE 


17 


1,877 


1 


375 


24 


2,164 





29 


FY 2013 
ESTIMATE 


17 


1,887 


1 


477 


23 


2,084 









STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the 
humanities 





9 





9 








Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


3 


323 


3 


324 





1 


Public Programs 














Provide reference services and information 


3 


267 


3 


271 





4 


Exhibitions 














Offer compelling, first-class exhibitions 


1 


79 


1 


78 





-1 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 





9 





9 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


8 


864 


8 


872 





8 


Mission Enabling 














Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


2 


326 


2 


324 





-2 


Total 


17 


1,877 


17 


1,887 





10 



105 



BACKGROUND AND CONTEXT 

The Smithsonian's Archives of American Art (AAA) enriches research 
about America's most significant art and artists. With more than 15,000 linear 
feet containing approximately 16 million items, it is the world's pre-eminent 
resource dedicated to collecting and preserving papers and primary records of 
the visual arts in America. Constantly growing in range and depth, ever 
increasing accessibility to its many audiences, it is an unparalleled and essential 
resource for the appreciation, enjoyment, and understanding of art in America. 

To achieve the Institution's goal of Broadening Access, AAA continues its 
ambitious digitization program, begun in 2005, to digitize a significant portion of its 
extensive holdings. AAA's website will continue to improve delivery of 
unprecedented numbers of new digital files, the core of which represents AAA's 
innovative work to digitize entire archival collections, representing hundreds of 
linear feet, along with descriptive information, engaging content, online exhibitions, 
robust search, and reference services. AAA's Lawrence A. Fleischman Gallery in 
the Donald W. Reynolds Center (DWRC) continues to reach new and diverse 
audiences. 

The strategic goal of Strengthening Collections will be achieved by 
continuing to implement preservation actions based upon results derived from 
comprehensive and systematic collection assessment surveys. Particular focus 
will be on decreasing the backlog of unprocessed collections and audio-visual 
and born-digital holdings. 

AAA will accomplish the goal of Mission Enabling through organizational 
excellence by continually assessing and enhancing staff development and 
maintaining conscientious oversight of internal controls. 

For FY 2013, the budget estimate includes an increase of $10,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

AAA will achieve the Institution's goal of Broadening Access by continuing 
to direct resources to optimize its presence in the DWRC and specifically by 
mounting compelling exhibitions in its Lawrence A. Fleischman Gallery. The 
exhibitions planned for FY 2013 include A Day at the Museum, intended to 
amplify the visitors' experience of the DWRC through written accounts of 
exhibitions such as Xanthus Smith's recollections of the 1876 Centennial 
Exhibition in Philadelphia; followed by an exhibition of rejection letters from the 
Archives, / Regret to Inform You, celebrating the spirit of perseverance; and 
finally an exhibition observing the end of a 12-year, grant-funded project to 



106 



collect primary source material documenting the studio craft movement in 
America. 

In addition, AAA will also reach new audiences by continuing to 
collaborate within the Smithsonian and with outside organizations. The Archives 
will partner with the Montclair Art Museum in New Jersey for the exhibition 
Americans at the Armory Show, opening on the centennial of the Armory Show, 
February 17, 2013. For the catalogue, the Archives will contribute an essay on 
the historiography of scholarship on the Armory Show as well as an illustrated 
checklist of archival material in the exhibition. In 2013, the Archives will continue 
its Archives of American Art Graduate Student Research Essay Prize to be given 
to compelling original research, using the resources of the Archives of American 
Art as primary evidence. The competition, open to anyone currently enrolled in a 
graduate program in Art History, Visual Culture, or American Studies, will 
introduce a new generation of scholars to the Archives' online resources. 
Through public programs, professional presentations, online exhibitions, and 
object loans to other museums and institutions worldwide, AAA will continue to 
widen its audience and provide a greater understanding of the history of visual 
arts in the United States. 

The AAA website will continue to be developed in support of the goal of 
public engagement, through increased emphasis on social media, incorporating 
emerging trends and technologies, and efficient and effective reference services. 
AAA will continue to increase public visits to its website by adding finding aids to 
processed collections; tens of thousands of images of digitized documents; audio 
and video recordings; and online exhibitions. Audio excerpts of interviews 
conducted for the Archives' Oral History Program, digitized in 2010-2012 with 
funding from a grant from the Save America's Treasures program, will enliven the 
website. The Archives will use grant funding from the Terra Foundation of 
American Art to focus on the interest of younger scholars who are increasingly 
adroit at using online tools and opportunities to share their work, to engage 
AAA's growing international audience, and to provide a platform for international 
dialogue about American art. 

In FY 2013, AAA will increase its digitization efforts with at least an 
additional 65 linear feet of AAA's collections, digitized in their entirety as part of 
the renewed support provided by the AAA's digitization program and funded by 
the Terra Foundation for American Art through June 201 6. This effort, in 
combination with digitization completed for reference requests, exhibitions, loans, 
and special projects, will produce an estimated 200,000 digital files and continue 
to bring increased public online Web access to AAA collections. The Terra 
Foundation will also continue its support for AAA's webmaster and other 
information technology positions to enable AAA to provide new levels of access 
to its collections by expanding thematic, topical, chronological, and geographical 
pathways to collections, and by increasing the numbers of records and images 
contributed to the Smithsonian and external delivery systems. AAA will continue 



107 



developing its internal digitization and Collection Information Systems database 
to ensure proper collections documentation and support increasingly complex 
workflows, including digitization on demand. These efforts will enable AAA to 
encompass the life cycle of the collections and oral histories from pre-acquisition 
to storage and access. AAA's investment in the digitization of its collections will 
be preserved by fully participating in the Smithsonian's Artesia Digital Asset 
Management System (DAMS) and initiatives in the Smithsonian's Digitization 
Program and Research and Collections Data Management offices. 

In FY 2013, between 20-25 significant research collections, totaling 
between 500-600 linear feet of the archival papers of painters, sculptors, critics, 
and collectors, will be preserved and processed according to national standards, 
resulting in new, fully searchable finding aids added to AAA's website. AAA will 
also continue minimal-level preservation and processing initiatives by preserving 
and processing large collections in the backlog as well as new accessions so that 
they do not become part of the backlog. Corresponding finding aids and 
inventories to minimally processed collections will be produced and made 
available on the AAA website. 

AAA will continue to strengthen its collections stewardship through its 
ongoing, comprehensive, preservation assessment surveys, begun in 2004 for 
manuscript collections and developed since then to accommodate at-risk audio- 
visual and born-digital holdings. The surveys systematically identify preservation 
and access needs, and assess the research value, current conditions, and other 
factors to effectively plan processing and preservation priorities and supporting 
projects. As collections are processed, electronic finding aids that meet national 
best practices will be produced, thereby preserving and broadening access to 
collections via the website. 

The results of the comprehensive Preservation and Assessment Survey 
conducted between FYs 2004-2008 will continue to be updated as new 
accessions are assessed and as collections are brought up to standards for 
online description and archival processing. These surveys will continue to inform 
collections processing and preservation priorities to achieve the Institution's 
strategic goal of Strengthening Collections. In FY 2013, AAA will continue a 
major multi-year initiative for minimal-level processing, to digitally reformat at-risk 
audio-visual media items from collections, and to continue a major audio-visual 
media preservation and access project begun in FY 2012. Implementing digital 
curation practices will result in improved long-term preservation and access of 
more than 22 terabytes of digital collections, including management of 2,000+ 
interviews conducted for AAA's Oral History Program digitized in 2010-2012, and 
the increasing volume of born-digital media acquisitions. 

AAA will continue to provide researcher access to its collections in its 
Washington, DC and New York research centers as well as affiliated research 



108 



centers throughout the United States, including providing remote reference 
services through its Web-based form and inter-library loan program. 

The Archives will achieve the Institution's strategic goal of Excellent 
Research by continuing to engage a national advisory committee in support of its 
ongoing efforts to acquire high-priority collections. 

The goal of Mission Enabling through organizational excellence will be 
addressed by continuing to implement the goals of the Smithsonian, thereby 
ensuring that the AAA workforce is efficient and skilled, and adopting best 
practices to safeguard Smithsonian resources. 

NONAPPROPRIATED RESOURCES — General trust funds support AAA's 
development office, including salaries and benefits. Donor-designated funds 
support specific programs and projects, including exhibitions, internships, 
production of oral history interviews, collections and media processing, and 
publication of the Archives of American Art Journal. FY 2012 grant funding from 
the Terra Foundation for American Art will support AAA's digitization program. A 
grant from the Mellon Foundation's Council of Library and Information Resources 
(CLIR) Hidden Collections grant program will increase online access to hidden 
and at-risk audio-visual media items. AAA will engage in fund raising as part of 
the Smithsonian Institution's National Campaign, seeking to raise money for 
general operating expenses. 



109 



NATIONAL MUSEUM OF AFRICAN AMERICAN 
HISTORY AND CULTURE 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 

ESTIMATE 


47 


13,298 


9 


814 


2 


722 








FY 2012 
ESTIMATE 


46 


13,415 


16 


1,690 


4 


1,228 





222 


FY 2013 
ESTIMATE 


76 


26,496 


16 


1,690 


4 


1,228 









STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


sooo 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the 
humanities 


6 


1,506 


6 


2,006 





500 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


1 


246 


3 


517 


2 


271 


Exhibitions 














Offer compelling, first-class exhibitions 


4 


1,594 


6 


2,812 


2 


1,218 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


5 


1,035 


11 


2,093 


6 


1,058 


Strengthening Collections 














Collections 














Improve the stewardship of the national 
collections 


7 


2,023 


22 


4,605 


15 


2,582 


Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient 
operation of Smithsonian facilities 





1,967 





6,729 





4,762 


Information Technology 














Modernize the Institution's information 
technology systems and infrastructure 





200 





200 









110 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


sooo 


Management Operations 














Strengthen an institutional culture that is 
customer centered and results oriented 


5 


1,129 


5 


1,129 








Ensure that the Smithsonian workforce is 
efficient, collaborative, committed, innovative, 
and diverse 


1 


129 


1 


129 








Modernize the Institution's financial management 
and accounting operations 


2 


266 


2 


266 








Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media 
and with federal, state, and local governments 


3 


960 


3 


960 








Modernize and streamline the Institution's 
acquisitions management operations 


3 


586 


6 


800 


3 


214 


Ensuring Financial Strength 














Secure financial resources required for the 
Institution's mission 


9 


1,774 


11 


4,250 


2 


2,476 


Total 


46 


13,415 


76 


26,496 


30 


13,081 



BACKGROUND AND CONTEXT 

The National Museum of African American History and Culture (NMAAHC) 
was established to document, collect, conserve, interpret, and display the historical 
and cultural experiences and achievements of Americans of African descent. When 
completed, the NMAAHC will provide a national meeting place for all to learn about 
the history and culture of African Americans and their contributions to every aspect 
of American life. This effort will encompass the period of slavery, the era of 
Reconstruction, the Harlem Renaissance, the civil rights movement, and other 
periods of the African American diaspora. The mission of the NMAAHC is to help all 
Americans remember and, by remembering, stimulate a dialogue about race and 
help to foster a spirit of reconciliation and healing. It will be a beacon for the nation 
that reminds us of what we were, what challenges we still face, and what we can 
become. As a truly national institution whose vision is to be a place that has 
meaning for all citizens, the NMAAHC will use the African American experience as 
a lens into what it means to be an American. 

When the founding director was hired in 2005, he committed to open the 
NMAAHC on the National Mall within 10 years. With the completion of pre-design and 
programming phases for the building in 2008, the selection, in April 2009, of Freelon 
Adjaye Bond/Smith Group as the architectural firm to design the facility, and the 
selection, in 201 1 , of Ralph Appelbaum and Associates to create the exhibition 
design for the inaugural exhibitions, the Museum is on schedule to complete 
construction, design and install exhibitions, and open to the public in 2015. 



For FY 2013, the budget request includes an increase of 30 FTEs and 
$13,081,000. The increase includes $46,000 for necessary pay and other related 
salary costs for existing staff funded under this line item; $35,000 for increased 
lease costs; and a programmatic increase of $13,000,000 and 30 FTEs to 
strengthen and expand the Museum's fundraising capacity; expand research in 



111 



support of inaugural exhibitions; facilitate collections acquisitions and digitization; 
support editorial services for publications and educational materials; plan events 
supporting the Museum's mission; and fulfill requirements for leased space, which 
is further justified in the Fixed Costs section of this budget submission. 

As authorized by Public Law 108-184, these funds are requested to remain 
available until expended. 

MEANS AND STRATEGY 

The focus of NMAAHC activities is to continue laying the groundwork 
required to design, build, and open the Museum on the National Mall in 2015. This 
will be accomplished through temporary and permanent exhibitions, first-class 
scholarly research, comprehensive collections of African American history and 
culture, innovative public and educational programs, state-of-the-art technology and 
associated websites, publications, conferences, and enhanced fundraising efforts. 

The NMAAHC has met the required benchmarks for design and 
construction of the Museum's building — selecting a building site, establishing a 
gallery for temporary exhibits, choosing an architect to design the facility, and 
choosing an exhibition designer for its inaugural exhibitions. A strategic 
communications firm has been engaged to navigate the regulatory environment as 
well as inform the public via an intensified marketing and strategic communications 
plan. A major part of the NMAAHC's visibility campaign is the implementation and 
management of strategic marketing, communications services, and a public 
information campaign to help disseminate information about the Museum's 
exhibitions, programs, and policies to the press and the general public. 

The Museum will continue its capital campaign to raise the required 
matching funds for design and construction of the new building. A national 
membership campaign has been successfully included within the capital campaign. 

The NMAAHC will continue collaborative partnerships within the 
Smithsonian Institution, as well as with African American organizations and other 
national organizations, in order to generate support to build and develop the 
Museum, acquire collections, support the development of exhibitions, test 
interpretive methods and concepts, leverage resources, and disseminate and 
share information via various electronic media and websites. 

The Museum will continue to work with other institutions, such as 
universities, libraries and archives, where research is being done on African 
American subjects to ensure that the information presented in the Museum is 
drawn from scholars engaged in the field and from numerous national resources. 
The Museum is also developing long-term partnerships with national organizations 
such as the National Park Service, the National Archives, and the Library of 
Congress to ensure that the work of the Museum is disseminated across the 
United States. 

112 



As part of its mission, the Museum must situate the story of African 
Americans into an international context. Therefore, the Museum continues to 
develop collaborative partnerships with museums, archives, libraries, universities 
and organizations in Europe, Africa, the Caribbean, and North, Central and South 
America. African Americans came to different parts of what is now the United 
States from different parts of Africa, brought by Dutch, Danish, French, Spanish, 
British, and American slave traders, and much of the archival data is located in 
Europe. Documentation of African American soldiers from World War I and World 
War II is located in European national archives and collaborative partnerships are 
necessary to access the information so that NMAAHC can properly tell the role of 
African Americans in the U.S. military. 

The Museum will continue its scholarly research in all areas of African 
American history and culture, as well as its acquisition of objects, books, papers, 
photographs, and other items to build a national collection. The NMAAHC will offer 
compelling, first-class exhibitions when it opens in 2015. In FY 2013, the Museum 
will complete the third and begin the fourth phase of design and development of its 
inaugural exhibitions. Temporary exhibitions are being created to inform the public 
about the new Museum and to test ideas and strategies for incorporation into 
permanent exhibitions. The NMAAHC has established a website and several 
social media outlets (Facebook, Twitter, YouTube, Flickr, MySpace, etc.) to 
disseminate information, gain outreach to wider audiences, preview exhibitions 
and public and educational programs, and serve as the principal platform of the 
Museum's national membership program. 

To achieve the goal of Excellent Research, the NMAAHC will use its 
resources to build on planned partnerships as follows: 

• In conjunction with the Center for Folklife and Cultural Heritage (CFCH), the 
NMAAHC will produce The Will to Adorn: African American Dress and the 
Aesthetics of Identity as a program for the 2013 Folklife Festival. This 
project will bring together exemplary artisans of style (in the areas of body, 
dress and adornment) from communities across America and throughout 
the Diaspora. 

• In May of 2009, Public Law 111-19, The Civil Rights History Project Act of 
2009, was passed to support the preservation of personal stories and 
testimonials of people who participated in the civil rights movement during 
the 1 950s and 1 960s. The Library of Congress and the NMAAHC are jointly 
responsible for documenting and preserving these valuable historical 
memories. 

• In 201 1 , the NMAAHC entered a partnership with FamilySearch, a 
genealogical research website owned by The Church of Jesus Christ of the 
Latter-Day Saints. The Museum will be one of three host sites (along with 
FamilySearch, and the National Archives and Records Administration) that 
will provide access to a relatively unknown treasure trove of information: 

113 



The Freedmen's Bureau Records. Once these records are fully digitized 
and indexed, they will provide access to a comprehensive collection of 
letters, diaries, marriage records, and bank records, representing freed 
slaves in 15 states and the District of Columbia. A website is planned that 
will enable members of the general public to conduct genealogical and 
historical research on the lives of previously enslaved individuals and their 
descendants. 

• The Museum is participating in two collaborative efforts to seek artifacts 
related to the transatlantic slave trade, as follows: 

o The Museum has begun the process of becoming a core partner in the 
African Slave Wrecks Project (ASWP), along with George Washington 
University (GWU), the National Park Service, the National Association of 
Black Scuba Divers, the Southern African Heritage Resources Agency, 
and the Associated Museums of Cape Town, South Africa. The 
NMAAHC, along with the ASWP, will be conducting an archival and 
archaeological survey of two slave ship sites in southern Africa. This 
survey is partially funded through an SI-GWU joint research grant that 
began in FY 2012 and has already resulted in successful dives at one of 
the sites. 

o The Museum is participating in a collaborative effort with the 

government of Cuba and National Museum of American History (NMAH) 
staff to undertake a similar search for a middle-passage slaver that was 
shipwrecked off the coast of Matanzas, Cuba. Once approval is granted 
by the Cuban government for this project, efforts will include preliminary 
site surveying and magnetometer readings, possible dives on site, and a 
fully developed archival research plan in Cuban Archives. 

The NMAAHC will achieve the goal of Broadening Access by directing resources to: 

• Digitization and Web Support 

o The foundation of the Museum's efforts to broaden access is to create 
searchable and accessible digital records of its collection. It is expected 
that new acquisitions will continue to be added to the collection 
information system as they become available and that the staff will 
continue to make progress in inventorying and digitizing the materials 
acquired before FY 2010. 

o In order to radically increase the digitization and, as a result, improve 
the accessibility of the Museum's images, documents, and artifacts, the 
NMAAHC, in partnership with the Smithsonian Institution Archives, has 
applied for a Scott Foundation grant. This grant would provide funding 
for equipment and staffing required for a Rapid Capture capability. This 
arrangement would enable NMAAHC to digitize its current collection of 

114 



photographs, negatives, and other two-dimensional materials before 
opening in 2015. Also envisioned is a program in which the Museum 
would borrow and scan photographs, negatives, slides, and archival 
documents from other collections, such as those in local historical 
associations and at small, Historically Black Colleges and Universities, 
which would then be available to students and scholars through the 
NMAAHC portal. 

o NMAAHC will launch a new website in 2013 that will act as a full-service 
communications, engagement, experiential, educational, and outreach 
arm of the Museum. The NMAAHC will continue to use social media 
technology as a method to inform and transform, and create and 
develop a sense of shared community. 

o The NMAAHC will plan, pilot, and test several digital media learning 
platforms to include eBooks for children and teenagers, as well as 
classrooms, games, exhibition content, and mobile applications. 

o The NMAAHC and the Smithsonian American Art Museum (SAAM) will 
continue to monitor the use and success of Oh, Freedom! Teaching Civil 
Rights through African American Art @ the Smithsonian, a Web-based 
project. This collaborative project will provide educators with 
inspirational and pedagogical tools to teach the importance of the 
African American civil rights struggle, the movement's centrality to and 
impact on American history, and its vital connection to artistic and 
cultural expression. 

Public Programs 

o In conjunction with the Center for Folklife and Cultural Heritage (CFCH), 
the NMAAHC will produce The Will to Adorn: African American Dress 
and the Aesthetics of Identity as a program for the 201 3 Folklife Festival. 
These cultural traditions will be shared with the broader public, thereby 
fostering greater respect and appreciation for these traditions. 

o The NMAAHC will continue to produce signature educational public 
programs (performances, films, book-signings, etc.) for a variety of 
audiences in support of its exhibitions. Past programs included several 
landmark events involving an array of national and community partners. 
Among them was Show/stoppers, a discussion and millinery fashion 
show of Lula Mae Reeves extraordinary designs (and NMAAHC's 
collections) and a screening of Everyday Sunshine: The Story of 
Fishbone, which chronicles the history of the funk, hard rock, punk, ska, 
and soul band and their legacy as musical trailblazers. 



115 



Exhibitions 

o Exhibitions will document, examine, and display the history of African 
Americans from slavery to the present. Each exhibit will showcase the 
culture of African Americans, their ongoing struggles for freedom and 
equality, and their role in building the country and shaping its economic 
life. 

o The conceptual and schematic design phases for the Museum's 12 
inaugural exhibitions will be completed in FY 2012. The third design 
phase, developmental design, will be completed and the final design 
phase begun in FY 2013. 

o Exhibitions will reside in three principal areas: History, Culture, and 
Community: 

> History will include three exhibitions: Slavery and Freedom; 
Segregation and Civil Rights; and Beyond 1968. 

Slavery and Freedom will provide a wide-ranging and sharply 
nuanced look at American slavery, from its beginnings in Africa and 
its role in the global economy during the 16th century to the 
beginnings of Reconstruction following the Civil War. Segregation 
and Civil Rights will explore the years following the end of 
Reconstruction to examine how the nation struggled to define the 
status of African Americans. Beyond 1968 will explore the 
experiences of African Americans during the first 40 years of an 
integrated American society, 1968 to 2008. 

> Culture will include four exhibitions: Cultural Expressions, Musical 
Crossroads, Taking the Stage: African Americans in Entertainment, 
and Visual Arts. 

Cultural Expressions will be a dynamic exhibit focusing on the 
significant cultural contributions of African Americans beyond music 
and the visual arts, including oratory, folk art, fashion, and intellectual 
arts such as literature, playwriting, science, and philosophy. Musical 
Crossroads will examine African American music as an integral 
American phenomenon through the lens of social and historical 
change. Taking the Stage: African Americans in Entertainment 
explores the history of African Americans in theater, film, television, 
and other popular media to celebrate their creative achievements, 
demonstrate their cultural impact, and illuminate their struggles for 
equal representation on the stage of American entertainment. Visual 
Arts will provide a showcase for contemporary African American art 
and artists. 



116 



> Community will include four exhibitions: Power of Place, Sports, 
Military History, and Making a Way Out of No Way. 

Power of Place is a thematic exhibition that will immerse visitors in 
the broad geographic diversity of the African American experience. 
Sports will use the world of sport as a unique and popular lens that 
provides an understanding of the African American experience and 
the role of race in America. Military History tells stories that illustrate 
the service and sacrifice of black soldiers during the course of 
American history. Making a Way Out of No Way will show how 
African Americans crafted possibilities in a harsh world that 
consistently denied them opportunities. 

The twelfth exhibition gallery will be a youth gallery entitled Explore 
More! It will be a highly exploratory, content-rich space designed to 
engage NMAAHC's youngest visitors in age-appropriate, higher-order 
thinking skills, kinesthetic experiences, and tactile activities. The gallery 
will serve as an introduction to, and a direct content and interpretive link 
between, the History, Culture, and Community clusters. 

o The NMAAHC is organizing temporary exhibitions to be presented in 
the Museum's gallery at the National Museum of American History 
(NMAH): Slavery at Jefferson's Monticello: Paradox of Liberty, and 
1863 Emancipation Proclamation and the 1963 March on Washington. 
Details are as follows: 

> Slavery at Jefferson's Monticello: Paradox of Liberty will explore the 
complex issues of 18th- and early 19th-century slavery, race, and 
American freedom. This is the first exhibition to provide a 
comprehensive look at the lives of many of the people who helped 
to create Thomas Jefferson's world at Monticello. Set in the context 
of slavery in America, the exhibit will focus on the hundreds of 
African Americans who played a major role in building, developing, 
servicing, and maintaining Monticello. 

> The collaborative exhibition, 1863 Emancipation Proclamation and 
the 1963 March on Washington, will examine how those two 
seminal moments were perceived by Americans at the time. 

The Museum will achieve the goal of Revitalizing Education by continuing to 
fund: 

• Save Our African American Treasures: A National Collections Initiative of 
Discovery and Preservation. Treasures will enable the Museum to continue 
engaging the American public in discovering, collecting, preserving, and 
sharing the material culture of African American heritage through a series of 
programs and collaborations with other museums and historical institutions. 

117 



• The ongoing Classroom Treasures Program, a gift from the W. F. Kellogg 
Foundation, continues to take place in classrooms and community centers 
around the country. Through literacy-based, hands-on programming, 
students learn about historic events and then examine real and mock 
material culture from the past to piece together family biography. They then 
are charged with investigating light, water, and pest damage of those 
materials to learn how to preserve both objects and their family oral 
histories. Older students continue to be engaged in conversations on race 
where they are encouraged to ask complex questions, voice their opinions, 
and explore their creative potential. 

To achieve the goal of Strengthening Collections, the NMAAHC will 
continue to identify, acquire, and process collections as the Museum prepares for 
the inaugural exhibitions that will accompany the opening of the building, as well 
as to develop public programs. To date, the Museum has collected more than 
15,000 items. Most of the collections are being housed in the new Pennsy Drive 
facility in Maryland. This facility includes specialized office and training spaces, 
exhibit design and fabrication shops, conservation facilities, and climate-controlled 
space to house the Museum's collections. 

To achieve the goal of Mission Enabling, the NMAAHC will continue to 
develop its operating organizational structure and make revisions as necessary to 
accomplish program goals. Staff will develop estimates of future staffing, space, 
and storage needs, and will prepare operating budgets and plans accordingly. 

• Management Operations 

o The NMAAHC will continue to direct its resources to support an 
expanded national visibility campaign. The Museum's Public Affairs 
Department will engage and work with a strategic communications firm 
to design and implement an intensified marketing and public relations 
campaign, targeting the media and the general public in major cities 
across the country. 

• Ensuring Financial Strength 

o To secure the resources needed to build and develop the Museum, the 
NMAAHC continues to use its federal fundraising resources to support 
the fundraising staff, develop and nurture relationships with potential 
significant donors, build a reliable base of regular donors, and use 
advanced fundraising techniques to identify and cultivate sources of new 
and larger donations. Specific initiatives in FY 2013 include expanded 
efforts to cultivate and solicit the most valuable individuals, corporations, 
and foundations, and the launch of the public phase of the fundraising 
campaign that will focus on outreach to potential donors at all gift levels 
and to key African American organizations. 

118 



o The Museum has launched its national membership campaign to reach 
out to communities across the nation to build a wide base of supporters 
and create a sense of ownership by the general public. The membership 
program will incorporate direct mail and online strategies to further 
engage members and will produce a biannual newsletter and a regular 
series of online communications to members. The Museum has 
acquired more than 25,000 members to date. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

The budget request includes an increase of 30 FTEs and $1 3,081 ,000. The 
increase includes $46,000 for necessary pay and other related salary costs for 
existing staff funded under this line item; $35,000 for increased lease costs; and a 
programmatic increase of $13,000,000 and 30 FTEs as detailed below: 

BROADENING ACCESS 

• (+$1 ,489,000, +4 FTEs) This increase will support the development of plans 
and designs for inaugural exhibitions; contractual support for the mounting and 
quality control of exhibitions; continuation of the inventorying and digitizing of 
the collections; and optimizing the Museum's website and current social media 
sites (e.g., Facebook, Twitter, YouTube, and Flickr). 

REVITALIZING EDUCATION 

• (+$1 ,058,000, +6 FTEs) This increase will support editorial services for 
publications and educational materials which will create methods and models 
of innovative informal education and link them to the formal education system; 
and expansion of the Museum's website to provide in-depth content about its 
exhibitions by using new media and social networking tools to deliver 
information in customized ways and bring the Museum's resources to those 
who cannot visit in person. 

STRENGTHENING COLLECTIONS 

• (+$2,582,000, +15 FTEs) This increase will support efforts to identify, acquire, 
and process collections as the Museum prepares for the inaugural exhibitions 
that will accompany the opening of the building, as well as to develop public 
programs. 



EXCELLENT RESEARCH 

(+$500,000) This increase will support research activities in history, art, and 
culture; expansion of outreach activities to various constituencies, including 
different ethnic groups, schools, families, and cultural and historical 

119 



organizations; and historical research for future resource centers and 
publications. 

MISSION ENABLING 

(+$500,000) This increase will fund additional leased space requirements. 
NMAAHC has outgrown its existing space at Capital Gallery and needs 
additional space to house the increasing number of staff who play an 
essential role in setting up exhibitions, programming, and operations of the 
Museum. 

(+$2,476,000, +2 FTEs) This increase will support the Museum's outreach 
efforts to build visibility of the Museum nationally and internationally, and 
contribute to building the Museum's financial strength. The Museum will 
expand activities in public relations, marketing, and communications; expand 
collaborative partnerships with national organizations; build a reliable base of 
regular donors, and use advanced fundraising techniques to identify and 
cultivate sources of new and larger donations. This includes expanding the 
use of social media, Internet access, direct mail, and marketing, in addition to 
other communication strategies. Increased funding to augment development 
resources is critical to cultivation events and solicitation of key prospects. The 
Museum will continue to support the donor-relationship activities critical to 
major fundraising efforts, such as receptions and representation activities. 
Resources are also needed to support NMAAHC's share of a comprehensive 
information system that will support the Smithsonian Institution's fundraising 
mission. This system will encompass the broad information and functions 
related to the identification, tracking, management, soliciting, and stewardship 
of individuals and organizations that have a philanthropic relationship with the 
Museum and the Institution. The support for the system will include the 
financial functionality to record, track, and report fundraising information 
(especially giving) and to interface with the Smithsonian's central financial 
system. Because achieving and sustaining fundraising success is one of the 
most pressing challenges facing the new Museum, increased funding to 
augment development resources is critical for NMAAHC as part of the 
Institution's National Campaign to raise $250 million in private matching funds 
for the Museum's capital construction costs of the building and exhibitions. 

(+$214,000, +3 FTEs) This increase will support the anticipated increase in 
programmatic staffing and developmental activities, which will require 
additional resources to develop estimates of future staffing, space, and 
storage needs, and to prepare operating budgets and plans accordingly. 



120 



One-time Activities: 

MISSION ENABLING 

• (+$1 ,000,000) This one-time increase will support the fit-out and furnishings 
for additional leased space. Until the construction and occupation of the Mall 
Museum is complete, the outfitting of leased space is needed to house the 
increasing number of staff who play an essential role in setting up exhibitions. 
programming and operations of the Museum. Without the added leased 
space and outfitting, the Museum will have no space to house the new staff 
necessary to finish the various exhibitions, programming, and other elements 
required for the 201 5 opening. 

• (+3,181 ,000) Additional storage and collections maintenance space is 
required. The Museum started with no collections and now has more than 
15,000 objects, which fully occupy the minimal space it has. The Museum 
continues to collect to meet the requirements needed for its inaugural 
exhibitions. The collection is growing and will triple in size, at a minimum, 
before the 2015 opening. The Museum must also have space for the large 
iconic collections which will require storage. Lack of adequate collections 
storage and maintenance facilities will adversely affect the scheduled opening 
of the Museum's inaugural exhibitions. 

The FY 2013 request will enable the Museum to sustain a realistic 
schedule of exhibitions and programmatic plans for the operation of this cultural 
presence. Any delays at this key point will have a direct correlation to the 
Museum's ability to meet its $250 million private-source fundraising requirements 
and the schedule set forth in the remaining three years before opening in 201 5. 
The Museum must stay on schedule to provide the exhibitions and programs 
promised to an eagerly waiting public, avoid cost increases, and maintain its high 
level of public support. 

NONAPPROPRIATED RESOURCES — General trust funds support salary and 
benefit costs of the Museum director. Donor/sponsor-designated funds support 
staff, special events for exhibition openings, and costs related to specific 
programs and projects, including educational programs, donor-related special 
events, and outreach activities. 



121 



NATIONAL MUSEUM OF AMERICAN HISTORY, 
KENNETH E. BEHRING CENTER 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


169 


22,392 


24 


2,482 


41 


6,571 


18 


2,970 


FY 2012 
ESTIMATE 


171 


22,600 


20 


2,775 


37 


5,788 


18 


3,487 


FY 2013 
ESTIMATE 


171 


22,822 


20 


2,775 


37 


5,788 


18 


3,487 



Note: Operating resources include the National Postal Museum 



NATIONAL MUSEUM OF AMERICAN HISTORY, 
KENNETH E. BEHRING CENTER 

STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 



Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the 
humanities 


23 


3,070 


22 


3,166 


-1 


96 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


10 


1,240 


10 


1,250 





10 


Public Programs 














Provide reference services and information 


15 


1,720 


15 


1,728 





8 


Exhibitions 














Offer compelling, first-class exhibitions 


48 


6,390 


48 


6,520 





130 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


6 


820 


6 


815 





-5 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


41 


5,275 


42 


5,275 


1 





Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient 
operation of Smithsonian facilities 


1 


252 


1 


222 





-30 


Execute an aggressive, long-range revitalization 
program and limited construction of new facilities 


1 


491 


1 


491 









122 



Performance Objective/ 
Program Category 


FY 2012 


FY 201 3 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Security and Safety 














Provide a safe and healthy environment 


1 


117 


1 


117 








Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


4 


686 


4 


689 





3 


Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


4 


414 


4 


417 





3 


Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


3 


277 


3 


275 





-2 


Modernize the Institution's financial management and 
accounting operations 


8 


785 


8 


789 





4 


Total 


165 


21,537 


165 


21,754 





217 



BACKGROUND AND CONTEXT 

The National Museum of American History (NMAH), Kenneth E. Behring 
Center, inspires a broader understanding of our nation and its people through 
research, exhibitions, collections activity, education, and public programs. The 
NMAH is the only Museum with the mandate to tell the entire story of America, from 
the early contact period through the 21st century. The NMAH is committed to 
leading the nation to a deeper understanding of the past and the role that 
individuals play in shaping the future, thereby illuminating thoughts about what it 
means to be an American. 

In FY 201 1 , more than 4.6 million people physically visited the Museum on 
the National Mall, in addition to another 12.8 million online, making NMAH the 
most visited history museum in the world. The NMAH has something for 
everyone, presenting the triumphs and tragedies, explorations and innovations, 
and treasures and curiosities that animate the American story. The Museum 
creates learning opportunities, stimulates imaginations, and presents challenging 
ideas about our country's past. 

The Star-Spangled Banner Gallery lies at the heart of the Museum. As 
visitors enter, a companion exhibition sets the scene for a dramatic historic event: 
the Battle of Baltimore during the War of 1812, when this young nation survived an 
assault by the British. This permanent exhibition demonstrates the Smithsonian's 
commitment to meet the dual challenges of preserving objects and communicating 
their history and significance to visitors. 



The Museum continues to build and broaden access to its extraordinary 
collection — including the desk Thomas Jefferson used when writing the 
Declaration of Independence, Abraham Lincoln's top hat, Thomas Edison's light 
bulbs, Alexander Graham Bell's telephones, the First Ladies' inaugural gowns, the 
Greensboro lunch counter, Stradivarius musical instruments, and Dorothy's ruby 
slippers from The Wizard of Oz — and will more fully use these national collections 
to support scholarly research and discovery. 

123 



For FY 2013, the budget estimate includes a net increase of $217,000. The 
estimate includes an increase of $1 17,000 for necessary pay and other related 
salary costs for existing staff funded under this line item, and a program increase 
of $1 00,000 for exhibit maintenance. 

MEANS AND STRATEGY 

The NMAH research activities, public programs and exhibitions are most 
closely aligned with the Smithsonian's Strategic Plan Grand Challenge of 
Understanding the American Experience. The Museum is committed to helping its 
visitors understand how striving to create a "more perfect union," based on 
freedom and justice, economic opportunity, technological innovation, and social 
progress, formed a nation and its people. Two examples of these efforts are the 
American Journeys project and the American Enterprise exhibit. 

NMAH curators are conducting research on the American Journeys project 
— a history of American immigration and migration. During the 20th century, 
Americans developed a number of metaphors to describe the complexity and 
diversity of peoples who make up this nation. The project will provide a historical 
and cultural context for the contemporary conversations about this topic. NMAH 
will stimulate citizenship engagement with issues of migration and immigration by 
using Smithsonian resources to help people develop a framework for their own 
experiences within the wider history and culture of the nation. The Museum's goal 
is to increase cultural historical literacy by demonstrating the complexities of 
American experience, past and present. 

American Enterprise is a new exhibit scheduled to open in mid-2015. The 
exhibit will examine the business and consumer history of the United States from 
the 1770s to the 2010s. Visitors will learn how the nation's economy has been 
shaped by the dynamic interplay between capitalism and democracy. They will 
see that competition, innovation and opportunity play integral roles in the nation's 
history and comprise the building blocks of America's business. The exhibition 
team is pioneering the use of a website to "learn in public" by sharing access to 
ongoing research, collections exploration, and nascent exhibition ideas with 
audiences around the world. The website, americanenterprise.si.edu, encourages 
Web users to interact with the staff in all these areas. 

The Museum has embraced the Smithsonian's strategic goals. Examples 
of the Museum's work in support of the respective goals are described below. 

Crossing Boundaries — Scholars from NMAH, the Library of Congress, 
and the Lawrence Berkeley National Laboratory announced their collaboration 
and success at recovering sound from recordings made more than 100 years ago 
by Alexander Graham Bell, Chichester Bell and Charles Sumner Trainter 
(collectively, Volta Laboratory Associates). Using high-resolution digital scans 
made from the original Volta discs, they were able to hear the word "barometer." 
Recovering sound from the six Volta discs is the first step in an ongoing project to 

124 



preserve and catalogue the Museum's early recording collection. The content of 
the recordings, studied in conjunction with the innovative nature of the physical 
discs and cylinders, provides insight into the invention process of these well- 
known 19th-century labs, as well as the speech patterns of the late 19th century. 

The Museum is Broadening Access to its collections through online 
curatorial resources, public programs and electronic outreach. The Museum's 
participation in the Smithsonian's EDAN project continues, with thousands of 
objects being added to the website, collections.si.edu. There is an interface to this 
collection from the NMAH website to facilitate visitor access. In addition, a 
collections group presentation tool is being implemented that allows staff to 
highlight select groups of objects and supplement them with images, media, and 
text that provide historical context and interpretation. 

The Lemelson Center for the Study of Invention and Innovation also plays an 
important role in the Museum's efforts to broaden access through its innovative 
online and outreach programs. The new SparklLab Outreach Project creates 
satellite SparklLab activities for partner museums by replicating some of the most 
popular lab activities. The first satellite SparklLab was established in 201 1 at the 
Nevada Discovery Museum in Reno, Nevada; the Center is working with the U.S. 
State Department on a temporary installation in Kiev, Ukraine, for late 2012. 
Besides these new programs, the Museum is engaging new visitors through 
innovative and targeted social media that encourages people to stay connected to 
the NMAH and explore the American Experience by making history relevant, 
interesting and thought provoking. 

NMAH is committed to Strengthening Collections by accounting for, 
preserving, and making accessible the Museum's rich and diverse collections for 
future generations. NMAH completed a major conservation project for Thomas 
Jefferson's The Life and Morals of Jesus of Nazareth, created by Thomas 
Jefferson around 1819 and considered a national treasure. The volume is on 
display at the Museum. Through a special congressional appropriation, NMAH 
has substantially completed efforts to modernize and improve storage conditions, 
maximize space efficiency, and increase accessibility for the Museum's 
collections, including the military collections. As part of this initiative, a physical 
inventory was started to improve accountability over the collections. 

The Museum is responding to the recent Inspector General 
recommendations based on collections audits of inventory controls and 
preservation. Regarding the inventory audit, NMAH has strengthened 
performance plan elements for collections documentation and cyclical inventories, 
taken actions to submit federal budget requests that address identified collections 
needs, and sought and received funding for collections care projects to address 
accountability deficiencies. In response to the preservation audit, NMAH has 
taken a lead role in the development of an Institutional prototype for addressing 
collections storage and space needs in existing Mall museums, and helped 

125 



establish the decontamination of Garber Buildings 15 and 18 as a Smithsonian 
priority in FYs 2012 - 2013. 

Revitalizing Education — The NMAH has launched the A. James Clark 
Excellence in History Teaching Program that will energize and transform the 
teaching and learning of American history by introducing K-12 educators to 
exciting and effective techniques, powerful online tools, and authentic content 
they can use in the classroom. NMAH staff will visit 10 communities nationwide 
for teacher training "history tours," highly interactive, multi-media-supported 
presentations that share the Museum's interdisciplinary approach to teaching with 
a focus on everyday objects, people-centered stories, and dialogue. 

The Museum is planning a new Education Center that will open in mid- 
201 5. The new Center represents a major commitment to improving history 
education and helping the nation understand the American Experience. This lively 
hub will provide visitors the opportunity to "do history" while developing a better 
understanding of the role they play in creating that story. 

NMAH staff continues to conduct research, plan and design future exhibits 
and programs, conduct public programs and performances, develop traveling 
exhibitions, acquire new collections, contribute to history education nationwide, 
and extend the scope of the Museum through new and expanding electronic 
outreach initiatives. The Museum continues to plan and implement daily and 
special programs to serve current visitors and extend the scope of the Museum by 
developing new approaches to American History. NMAH staff will continue to 
collaborate with other Smithsonian units on exhibitions and educational programs. 

The Museum will close its West Wing in late FY 2012 to allow for planned 
construction and upgrade of its HVAC and other utility systems as well as a much- 
needed renovation of the exhibit galleries. This construction is the next phase of the 
Museum's master plan for renovation and improvement. Design and construction 
will be managed by the Smithsonian Office of Facilities Engineering and 
Operations. In advance of the wing closure. NMAH staff will be fully occupied 
deinstalling the existing exhibits and moving collections and treasured objects to 
alternative locations so that construction may proceed on schedule. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 201 3, the budget estimate includes a net increase of $21 7,000. 
The estimate includes an increase of $117,000 for necessary pay and other 
related salary costs for existing staff funded under this line item, and a program 
increase of $100,000 for exhibit maintenance. Details are as follows: 

• The $100,000 increase in exhibit maintenance funding will provide 
contract support to ensure the exhibitions are always clean and in 
repair, the media components are fully operational and up to date, and 
the information provided is accurate and current. The mere presence of 

126 



record numbers of visitors results in increased wear and tear to the 
displays within the halls, and increases the costs to maintain them. In 
addition, the more interactive nature of today's exhibits increases 
maintenance needs. Specifically, the Museum will improve exhibit 
lighting by replacing outdated lighting tracks and fixtures with LED 
fixtures. The LED fixtures last longer and use less power, thereby 
offering the benefit of significant energy use savings and reduced 
manpower costs. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries and 
benefits for 30 percent of NMAH staff, as well as associated non-personnel 
operating costs. Donor/sponsor-designated funds are used to develop, install and 
promote new exhibitions, fund public programs and educational initiatives, and 
support research, travel and collections. Donor-designated funds are also vital to 
continuing the renovation of the public spaces in the Museum, including the 
construction of the newly renovated Warner Bros. Theater, which will open in 
February 2012. 



127 



NATIONAL POSTAL MUSEUM 



STRATEGIC GOALS: BROADENING ACCESS; STRENGTHENING 
COLLECTIONS; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


1 


75 


1 


75 








Exhibitions 














Offer compelling, first-class exhibitions 


1 


158 


1 


160 





2 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


4 


510 


4 


513 





3 


Mission Enabling 














Facilities 














Execute an aggressive, long-range revitalization program 
and limited construction of new facilities 





300 





300 








Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 





10 





10 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 





10 





10 








Total 


6 


1,063 


6 


1,068 





5 



BACKGROUND AND CONTEXT 



The National Postal Museum (NPM), with the world's largest museum 
collection of stamps and postal artifacts, is dedicated to creating visitor 
experiences that educate, excite, entertain and inspire. With more than six million 
objects, the Museum is responsible for the Smithsonian's second-largest 
collection. The Museum dedicates its resources to developing new and innovative 
ways to explore the vital role of the postal system in American life, and to make its 
vast philatelic and postal collections available to all. The NPM uses its collections 
in exhibits and programs which educate the public on the history of America, 
transportation, economics, and commerce. 

In addition to the many activities and programs completed throughout the 
year, the NPM is focused on several major initiatives aimed at increasing visitation to 
both the Museum and its website. These initiatives include a major expansion of the 
Museum's exhibit space, giving it a substantial presence on the first floor of the 
historic Postal Square Building. Specifically, the NPM projects include a new 
12,000-square-foot Stamp Gallery that will enable the Museum to display the full 
breadth of the National Stamp Collection; the cataloguing, imaging, and preservation 
of the Postmaster General's collection of original stamp art; the design and 

128 



fabrication of new history galleries; the launching of an interactive, online Memory 
Book to capture and preserve personal postal-related stories and oral histories; and 
continued upgrades of and enhancements to the increasingly popular Web-based, 
online collection information system. The success of these long-term projects will 
require the use of non-federal resources made available to the Museum. 

For FY 2013, the budget estimate includes an increase of $5,000 for 
necessary pay and related salary costs for existing staff funded under this line item. 

MEANS AND STRATEGY 

The National Postal Museum's primary activities are aimed at meeting the 
Smithsonian's Grand Challenges of Valuing World Cultures and Understanding the 
American Experience through the prism of postal communications and philately. 
These challenges will be met by Broadening Access to the Museum's collections, 
programs and exhibitions; Revitalizing Education through the creation of new 
models and methods of innovative educational programs; Strengthening 
Collections through improved preservation, storage, and digital imaging; and 
Mission Enabling by working with other Smithsonian units and external partners to 
improve the operation of the Museum. 

Arago continues to be the Smithsonian's most popular online collections 
website. In FY 2013, the Museum will continue to expand Arago and complete the 
redesign of the non-collection portion of its website started in FY 2012. The new 
design will incorporate many of the user-friendly features of Arago and provide 
online visitors with greater access to the Museum's vast resources. The 
redesigned website will also expand access to content through mobile devices and 
fully integrate the various social media platforms. 

In FY 2013, the Museum will continue partnering with local schools and 
Teachers of the Year to offer training in new media and object-based learning. The 
Teacher Leaders Program, funded by the Pearson Foundation, will empower 
teachers and students to use Museum objects and new media tools, including blogs 
and cell phones, to expand learning opportunities throughout the Smithsonian. 

In FY 2013, the Museum will open the William H. Gross Stamp Gallery, a 
12,000-square-foot exhibition gallery and educational space. The new gallery will 
showcase the largest and most comprehensive exhibition of philatelic material ever 
undertaken by the Smithsonian. The new gallery will consist of five separate 
exhibitions. The World of Stamps will serve as an introduction to the new gallery and 
provide a historical, educational, and entertaining look at stamps. The Gems of 
American Philately will display some of the most distinctive and intriguing items from 
the Museum's collections, including an embossed revenue document from the 1765 
Stamp Act, the inverted Jenny upside-down airmail stamp, and mail cancelled on 
the moon. The Connect with U.S. Stamps exhibit will showcase modern stamps in 
new and innovative ways. The Stamps Around the Globe exhibit will explore 
geography, ancestry, history and culture through interpretive displays of stamps from 

129 



around the world. The Stamp Salon, the largest of the new exhibits, will showcase 
more than 5,000 rare and historic postage stamps, essays, proofs, mail, and 
revenue stamps, and will represent the very best of the national stamp collection. 

The Museum will also begin work on an exhibition highlighting the United 
States Postal Inspectors, and their efforts to prevent the fraudulent use of the U.S. 
mail system. The exhibit will educate and inform the public through the presentation 
and interpretation of recent significant examples of mail-fraud cases. 

The Museum's federal resources are primarily dedicated to improving the 
stewardship of the national collections for present and future generations. In 
FY 2013, the NPM will continue to process new acquisitions, which include digitizing 
and cataloguing these entries using the automated collections information system 
(CIS). Enhanced cataloguing and digital records created for more than 5,000 
philatelic and postal history items selected for the new Stamp Gallery will be placed 
online for ready access by the public. A major initiative to improve accessibility to off- 
site collections will remain a Museum priority. 

In FY 2013, the Museum will continue to catalogue, image, and conserve the 
Postmaster General's Collection of original stamp art. The Postmaster General's 
Collection, transferred to the Museum from the United States Postal Service in 
FY 2012, represents one of the most important philatelic collections in the world. It 
includes the original artwork, as well as rejected designs and preliminary sketches, 
commissioned for more than 3,000 U.S. postage stamps between 1942 and the 
present. The Museum will re-house and conserve the collection, and make it 
available to the public in the new Stamp Gallery, through online exhibitions, and 
through the Museum's loan program to museums across the country. 

The NPM will continue to direct resources toward maintaining the Museum's 
information technology (IT) systems and infrastructure requirements to meet the 
strategic goal of Mission Enabling. The Museum will continue to replace network 
hardware and software to meet requirements which support a host of 
programmatic and exhibition needs, and to modernize its IT systems. Additional 
resources will also be directed toward the general administrative support needed to 
enhance Museum operations. 

NONAPPROPRIATED RESOURCES — The United States Postal Service 
provides the NPM with an annual grant, which supports nearly 75 percent of the 
Museum's core functions and operational costs. These costs include salaries and 
benefits, utilities, facility maintenance, exhibitions, research, education, and 
collection management programs. Fundraising initiatives continue to generate 
increased support from donor/sponsor-designated funds to cover new exhibitions, 
educational projects, and special events. However, continued efforts remain 
focused on securing the donor-designated funds needed to complete the 
expansion of the Museum and its new Stamp Gallery, with permanent exhibits of 
the National Stamp Collection and rare gems. 

130 



NATIONAL MUSEUM OF THE AMERICAN INDIAN 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


244 


32,335 


4 


911 


13 


3,213 





311 


FY 2012 
ESTIMATE 


246 


31,849 


2 


812 


18 


4,221 





75 


FY 2013 
ESTIMATE 


246 


31,998 


2 


812 


18 


3,831 





75 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTEs 


$000 


FTEs 


$000 


FTEs 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in 
the humanities 


17 


2,334 


17 


2,349 





15 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web 
support 


8 


1,307 


8 


1,311 





4 


Public Programs 














Provide reference services and information 


33 


4,065 


33 


4,088 





23 


Exhibitions 














Offer compelling, first-class exhibitions 


32 


5,775 


32 


5,802 





27 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


50 


5,184 


50 


5,214 





30 


Strengthening Collections 














Collections 














Improve the stewardship of the national 
collections 


31 


3,648 


31 


3,669 





21 


Mission Enabling 














Facilities 














Improve the overall cleanliness and efficient 
operation of Smithsonian facilities 


14 


1,824 


14 


1,828 





4 



131 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTEs 


$000 


FTEs 


$000 


FTEs 


$000 


Security and Safety 














Provide world-class protection for 
Smithsonian facilities, collections, staff, 
visitors, and volunteers 


1 


198 


1 


198 








Information Technology 














Modernize the Institution's information 
technology systems and infrastructure 


15 


2,236 


15 


2,243 





7 


Management Operations 














Strengthen an institutional culture that is 
customer centered and results oriented 


27 


3,384 


27 


3,394 





10 


Enhance the reputation of the Smithsonian 
by maintaining good relations with the news 
media and with federal, state, and local 
governments 


3 


320 


3 


321 





1 


Ensure that the Smithsonian workforce is 
efficient, collaborative, committed, 
innovative, and diverse 


2 


200 


2 


201 





1 


Modernize the Institution's financial 
management and accounting operations 


8 


899 


8 


903 





4 


Modernize and streamline the Institution's 
acquisitions management operations 


5 


475 


5 


477 





2 


Total 


246 


31,849 


246 


31,998 





149 



BACKGROUND AND CONTEXT 

The National Museum of the American Indian (NMAI) is committed to 
advancing knowledge and understanding of the Native cultures of the Western 
hemisphere — past, present, and future — through partnerships with Native 
people and others. 

The NMAI will focus its resources to support exhibits concerning the 
cultures and histories of Native communities and to present contemporary works 
of art to the public at the NMAI on the National Mall in Washington, DC and the 
George Gustav Heye Center (GGHC) in New York City. These exhibits, along 
with educational and cultural arts programming, are expected to attract more 
than 1 .7 million visitors annually. The offering of arts and crafts demonstrations, 
educational presentations, seminars, and symposia at both locations will ensure 
a meaningful visitor experience. Web content based on these programs will 
reach distant "virtual visitors" to the Museum, who may not be able to come to 
the East Coast but who can avail themselves of technology and content 
developed at NMAI. Through its exhibitions and public programming, the 
Museum continues to present the contemporary voices of Native peoples to 
educate and inform the public while countering widespread stereotypes. 

For FY 2013, the budget estimate includes an increase of $149,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 



132 



MEANS AND STRATEGY 

To achieve the goal of Broadening Access, the NMAI is directing its 
resources to: 1) activities that will result in increased visitation to the NMAI on the 
National Mall in Washington, DC and the GGHC in New York City; 2) public 
programming that will encompass information about the indigenous peoples of the 
Western hemisphere and Hawaii (as mandated in the NMAI legislation) and that wil 
demonstrate the presence of contemporary Native peoples today; 3) outreach to 
Native communities, tribes, and organizations, through Web-based technologies, 
video conferences, internships, seminars, and symposia; and 4) expanding access 
to the NMAI collections online. 

Engagement efforts will continue to bring the Museum and its resources to 
audiences through media such as radio and the Web, and via innovative 
outreach and training programs. These contacts will link external communities to 
public audiences through technology and involvement in planning and 
programming. The Film and Video Center will present the variety and excellence 
of Native productions at both the Washington, DC and New York City locations. 

To achieve the strategic goal of Revitalizing Education, funding will 
continue for planning and operating programs seven days a week, including 
interpretive activities, cultural arts performances, demonstrations, and resource 
materials about Native American history and cultural heritage. The NMAI's 
National Education Initiative, "Sharing American Indian Knowledge through 
Educational Excellence," will continue to be developed in collaboration with 
Native educators and cultural experts to create exemplary materials that reflect 
indigenous pedagogy and knowledge, and develop model materials that Native 
communities can expand upon for their own purposes. The resource center in 
New York will continue to provide daily information about Native peoples of the 
Western hemisphere, and Hawaii, thereby providing opportunities to correct 
stereotyping and expand public knowledge. To promote learning across the 
generations, the activity center in Washington, DC will introduce indigenous 
science understanding of the natural world to 150,000 school children and 
Museum visitors. Various tribal educational resources, including curricula, will be 
made available to teachers. 

In addition, as part of the Excellent Research strategic goal to advance 
knowledge in the humanities, staff will make research, film, video, audio, and 
photographic content developed for exhibitions broadly available at the Museum 
and to Native American communities and public audiences, through the Web, 
printed materials, and collaborative activities with other groups and 
organizations. 

NMAI staff will continue to oversee group and school tour programs, and 
volunteers, and will also direct presentations in galleries and all public space and 



133 



program areas to ensure maximum use of all the educational resources available 
to enhance the visitor experience. 

The strategic goal of Mission Enabling will be addressed by efficiently and 
economically designating resources to meet the mission of the Museum, 
implementing the goals of the Smithsonian Institution, and enhancing the 
collections by acquiring works that document Native experiences and expressive 
cultures, including the representation of modern and contemporary arts. 

NONAPPROPRIATED RESOURCES — General trust funds support salary and 
benefit costs for the Museum director and other program-related costs. 
Donor/sponsor-designated funds support salaries and benefits for development 
staff; costs associated with reaching NMAI's National Campaign fundraising 
goals; publications and special events for exhibition openings; costs related to 
specific programs and projects, including educational programs, advertising, 
production of fundraising proposals, member- and donor-related special events; 
and outreach activities. 



134 



NATIONAL PORTRAIT GALLERY 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


52 


5,987 


2 


521 


7 


2,408 








FY 2012 
ESTIMATE 


55 


5,989 


2 


657 


7 


2,858 








FY 2013 
ESTIMATE 


55 


6,021 


2 


663 


7 


2,886 









STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND MISSION 

ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the 
humanities 


4 


508 


4 


509 





1 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


2 


223 


2 


223 








Public Programs 














Provide reference services and information 


5 


465 


5 


465 








Exhibitions 














Offer compelling, first-class exhibitions 


16 


1,730 


16 


1,731 





1 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


7 


623 


7 


640 





17 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


14 


1,575 


14 


1,587 





12 


Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


1 


131 


1 


131 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


3 


371 


3 


372 





1 


Ensure that the workforce is efficient , collaborative, 
committed, innovative, and diverse 


1 


126 


1 


126 









135 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Modernize the Institution's financial management and 
accounting operations 


1 


123 


1 


123 








Modernize and streamline the Institution's acquisitions 
management operations 


1 


114 


1 


114 








Total 


55 


5,989 


55 


6,021 





32 



BACKGROUND AND CONTEXT 

The Smithsonian National Portrait Gallery (NPG) inspires visitors from 
around the world by illuminating the American experience through powerful 
images that connect people and their stories. 

The NPG strives to bring visitors face to face — literally — with 
exceptional Americans and their remarkable stories across time, place, and 
circumstance. The Museum uses diverse approaches in visual biography to 
focus on changing notions of American identity, and to track evolving ideas about 
who is significant and has an impact on American culture. The NPG aspires to be 
widely known as the place that sparks thought and conversation, and includes 
the audience as an active participant in defining American identity through 
portraiture and biography. 

NPG devotes a major portion of resources to Broadening Access, thereby 
increasing the availability and accessibility of the Museum's collections through 
exhibitions, public programs, and publications. The collections are digitized, just 
under half with an image on the public website, to make them accessible to more 
people for more purposes. The exhibitions explore themes in history, biography, 
and art in a way that brings out new meaning and understanding of the American 
experience. Highlights of special exhibitions planned for the remainder of 
FY 2012 include: * 

• 1812: A Nation Emerges. An exhibition of major importance and 
scholarship examining persons on both sides of the conflict and bringing 
together artworks and artifacts from around the Atlantic. 

• One Life: Amelia Earhart. The NPG will closely consider the life of this 
aviation pioneer and singular female role model during the 75th 
anniversary of her globe-spanning flight from which she never returned. 



• 150th Commemoration of the Civil War: The Confederate Sketches of 
Adalbert Volck. Part of the ongoing study of the pivotal conflict of 19 th 
century America, this exhibition series also showcases items from the 
Museum's permanent collection. 

The NPG continues to expand its use of current technology, including 
social media and portable digital devices, to engage with the public in the 

136 



galleries and around the world as well as reach new audiences, in particular the 
younger learners who use digital devices heavily. 

A significant portion of resources is devoted to Strengthening Collections, 
which is fundamental to the work at NPG. For a better understanding of the 
American experience, the Museum collects actively to document the historic and 
ongoing accomplishments and creativity of the American people. The Museum 
also devotes considerable efforts to the preservation and safeguarding of its 
growing permanent collection to ensure its value as an educational resource to 
future generations. 

Budgetary resources are also used for Mission Enabling activities such as 
Museum administration and operations. The NPG strives to understand the 
distinct and evolving needs of the public, communities, and stakeholders served 
by NPG, and then support the program delivery to meet these needs by honing 
its abilities in information technology, procurement, human resources and 
financial management, business activities, and strategic planning. 

For FY 2013, the budget estimate includes an increase of $32,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

In FY 2013, the Museum will continue to concentrate its efforts and 
resources on exhibitions, developing and maintaining its collection, expanding 
public education offerings, and pursuing new research directions. 

To support the goal of Broadening Access, the Museum's exhibition 
schedule in the fiscal year will feature: 

• Poetic Likeness: Modern American Poets, which will survey the history 
and impact of American poetry during the modern period when the 
nation's poets came of age in their command of a distinctly American 
voice. Drawn mainly from NPG's permanent collection, this exhibition will 
be accompanied by a series of readings and other literary events. 

• The third Outwin Boochever Portrait Competition that will invite artists all 
over America to investigate the contemporary art of the portrait. The 
competition celebrates excellence and innovation, with a strong focus on 
the variety of portrait media used by artists today. A fully illustrated 
publication will accompany the exhibition. 

• One Life: Martin Luther King Jr. that will mark the 50th anniversary of the 
1963 March on Washington, and King's stirring / Have a Dream speech, 
with images documenting the civil rights leader's life from his early days as 

137 



a pastor in Montgomery, Alabama, to his leadership of the national civil 
rights movement in the 1960s. The One Life series presents focused 
exhibitions on significant individuals whose words and deeds continue to 
shape America today. 

A key technological means of Broadening Access in FY 2013 involves 
joining the Art Project by Google that will enable Museum visitors to search for 
information on portraits simply by taking a photo with their smart phones. The 
Museum will also partner with technology contributors to develop mobile tour 
applications for use with hand-held devices. Meanwhile, more digitized images of 
the permanent collection artworks will be loaded into the collections database 
and then connected to the Museum's website for public searching and study. 

The Museum will continue Strengthening Collections, with efforts to 
enhance NPG's collection with the acquisition of rare and unique pre-1825 
portraits of individuals and of under-represented minorities. Also, the Museum 
will continue projects to upgrade storage conditions for its sculpture collection at 
the Smithsonian facility in Largo, Maryland, to make the artworks more 
accessible, better safeguard the collection, and provide room for future additions. 

The NPG will introduce further teenage programming with the goal of 
Revitalizing Education. FY 2013 will see the second teens' online portrait 
competition, modeled around the Outwin Boochever Portrait Competition, and 
the expansion of the Teen Ambassadors Program, which serves youth through 
the District of Columbia Department of Employment Services' summer jobs 
program. Families with children will enjoy more of the Portrait Discovery Kits and 
the Young Portrait Explorers that includes hands-on activities in the galleries and 
the NPG Education Center. The NPG will also conduct a four-day summer 
workshop, focusing on the Civil War, for professional educators. 

The NPG will work on the Mission Enabling goal by assessing the skill 
requirements of all its entry and mid-grade positions. It will also incorporate 
technologies to reduce operational costs and enhance the visitor experience in 
the galleries. 

NONAPPROPRIATED RESOURCES — General trust funds support critical 
positions and help defray costs of special events for exhibition openings, loan 
exhibition development, outreach, fund raising, management, and research. NPG 
must support exhibitions, publications, public lectures and gallery programs, 
symposia, and some collection acquisitions with donor/sponsor-designated 
funds. Private donations are thus critical to the Museum's planning, 
programming, and ability to deliver on its public mission. It is through a public- 
private partnership that the National Portrait Gallery achieves its goals. 



138 



SMITHSONIAN AMERICAN ART MUSEUM 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


86 


9,325 


6 


980 


26 


6,227 


2 


174 


FY 2012 
ESTIMATE 


88 


9,328 


6 


778 


28 


5,769 


2 


143 


FY 2013 
ESTIMATE 


88 


9,378 


7 


815 


25 


5,501 


2 


143 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


sooo 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure advancement of knowledge in the humanities 


4 


485 


5 


545 


1 


60 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


7 


745 


7 


745 








Public Programs 














Provide reference services and information 


13 


1,283 


13 


1,303 





20 


Exhibitions 














Offer compelling, first-class exhibitions 


21 


2,315 


20 


2,320 


-1 


5 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


4 


565 


4 


525 





-40 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


21 


2,235 


21 


2,240 





5 


Mission Enabling 














Security and Safety 














Provide a safe and healthy environment 


1 


75 


1 


75 








Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


3 


250 


3 


250 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


14 


1,375 


14 


1,375 








Total 


88 


9,328 


88 


9,378 





50 



139 



BACKGROUND AND CONTEXT 

The Smithsonian American Art Museum (American Art) is the nation's 
Museum dedicated to the arts and artists of the United States from colonial times to 
the present. It is the home of the largest and most inclusive collection of American 
art in the world, and its holdings of more than 42,000 works, spanning three 
centuries of the nation's cultural development, tell the story of America through the 
visual arts. The Museum's programs make the collection available to national 
audiences and beyond, as well as to those who visit its two historic landmark 
buildings in Washington, DC: the Donald W. Reynolds Center (DWRC) for American 
Art and Portraiture (shared by American Art and the National Portrait Gallery) and 
the Renwick Gallery, dedicated to American crafts and decorative arts. 

To achieve the goal of Excellent Research, American Art curators and 
research Fellows-in-residence use the collection and other resources to develop 
new insights into America's cultural and artistic legacy. The resulting knowledge 
informs collections development and serves as the basis for exhibitions, associated 
award-winning catalogues and scholarly publications, and material for online content 
and educational programs. The Museum's peer-reviewed journal, American Art, 
serves as an additional venue for scholarship in the field. The Museum hosts 
international symposia on topics of relevance in the field of American art. 

Broadening Access is achieved through a web of activities. The Museum is 
taking full advantage of the latest technologies (e.g., audio, multi-media, podcast tours, 
smart phones, tablets, and applications) as well as innovative cross-platform 
educational games that integrate new social media and services to engage audiences 
both online and on site. Three videoconference centers deliver the Museum's 
programs around the world. Digitization of the collection continues apace, thereby 
enabling the Museum to add new content and features to its online resources. 

An ambitious schedule of exhibitions developed in-house and complemented 
by shows obtained from other organizations attracts new visitors and encourages 
repeat visits. Large exhibition spaces, shops, and a restaurant greet visitors with a 
broad range of activities to maintain their interest. The Lunder Conservation Center 
provides a window on preservation of the nation's collections, and the Luce 
Foundation Center for American Art displays 3,500 collection objects in a unique 
visible storage center. The Renwick Gallery has additional space for exhibitions, 
public programs, and rotating displays of its permanent collection of American 
crafts. Multiple traveling exhibitions organized by the Museum are shared with 
museums throughout the United States, giving the public broad, direct access to the 
nation's artistic and cultural heritage. 

Public programs complement Museum exhibitions and collections through 
courtyard concerts, family days, heritage month programs, tours and gallery talks, 
scavenger hunts, and craft and sketching workshops, as well as alternate reality games. 



140 



Diverse activities advance the goal of Revitalizing Education. National 
education programs directly reach K-12 teachers and students. These include 
adoption of the latest technologies where most effective, as well as incorporation of 
art into core curricula. Resident teacher institutes are supplemented by online/on- 
demand courses for the K-12 community. The Museum regularly collaborates with 
private and public organizations to provide teachers with new tools and resources. 
Students are brought into the Museum as often as possible to provide that unique 
direct experience with great art. The MacMillan Education Center, located in the 
galleries, benefits students in classrooms across the nation and U.S. military bases 
worldwide as well as school groups touring the Museum, conservators, research 
Fellows, and educators. 

The goal of Strengthening Collections is achieved through multiple activities. 
Scholarship and research help set acquisition objectives. Gifts of art and private 
funds raised through development activities pay for additions to the national 
collection. Conservators obtain new tools and training to preserve the artwork. 
These are shared with colleagues and with the public in the Lunder Conservation 
Center. Conservation fellowships ensure that experience and knowledge are 
shared within the larger community of conservation practitioners. 

Mission Enabling encompasses many activities. A proactive safety program 
ensures a safe and healthy environment for Museum staff and visitors. Information 
technology staff implement and maintain the information framework on which so 
many other efforts depend. This includes the exhibition space screens, kiosks, and 
optimizing online information for mobile devices. Managers carefully plan, promote, 
protect and conserve the Museum's resources. 

For FY 2013, the budget estimate includes $50,000 for necessary pay and 
other related salary costs for existing staff funded under this line item. 

MEANS AND STRATEGY 

Research on the collections and related topics by staff, augmented by the 
new curator of Latino art (a collaboration with the Smithsonian Latino Center), 
continues in support of exhibitions and the permanent collection, including three 
new exhibition catalogues scheduled for publication in FY 2013. The Museum's 
award-winning, peer-reviewed journal, American Art, will publish three issues of 
new scholarship. American Art hosts approximately 20 research Fellows from 
throughout the country, greatly increasing the number of scholars using the 
collections. The resulting discoveries and interpretations by staff and Fellows help 
Americans understand and appreciate their rich cultural heritage as well as 
advance scholarship in American art. Research also will feed into educational 
programs as well as the Web and new media. 

Two-thirds of American Art's collection already is online and the Museum 
continues to digitize and post new images and content. The Museum makes 
images and content available through online image- and video-sharing sites and 

141 



collaborative initiatives with other organizations. American Art will expand its online 
presence via social media (e.g., Facebook, Twitter, and YouTube) and hosts the 
art blog, Eye Level. More podcasts and videos will be added to the Museum's 
online library. All these assets will be accessible regardless of device used. Video 
capture and editing technology will enable the Museum to expand its audience by 
webcasting events and hosting online discussions via instant messaging and blogs. 
Interactive exhibition components are added whenever needed. Geocoding of 
records in the Save Outdoor Sculpture! database (adding latitude and longitude 
markings) will enable staff to develop a Google map application to connect 
Americans throughout the country with their cultural heritage. 

Four exhibitions are planned for FY 2013 at American Art and its Renwick 
Gallery. Major exhibitions at the DWRC include: African American Art, The Civil War 
and American Art, Nam June Paik: Art and Process, and American Documents: 
30 Years of Collecting Photographs at the American Art Museum. The Renwick 
Gallery will feature Behind the Veneer: Thomas Day, Master Cabinetmaker. The 
well-received rotating exhibit, Watch This!, will showcase video and new media art 
from the Museum's permanent collection. 

As part of its ongoing efforts to make as much material as possible 
accessible to the public, the Museum regularly rotates artworks in the permanent 
collection galleries to show the many facets of American art and culture, as well as 
to encourage return visits. FY 2013 includes two rotations from the permanent 
collection. The Luce Foundation Center for American Art displays an additional 
3,500 collection objects in densely installed glass cases. 

National outreach includes touring exhibitions with Modern Masters, The Art 
of Video Games, African American Art, and Annie Leibovitz: Pilgimage. 1934: A 
New Deal for Art continues to crisscross America, traveling to three museums in 
FY 2013, its ninth, tenth, and eleventh venues out of 13. Interactive exhibition 
components continue evolving to keep pace with proliferating information conduits. 
In addition, whenever possible, American Art honors requests by other museums 
for loans from the national collection. 

American Art engages a diverse audience through a range of public 
programs and online resources. The Museum will continue its popular tours, gallery 
talks, demonstrations and workshops. Individuals may bring in objects and talk with 
conservators about the proper care and handling of family heirlooms. Family Days 
and heritage month programs will create and sustain new relationships between 
the public and their cultural history. Public programs in the galleries, McEvoy 
auditorium and Kogod Courtyard will be supplemented by new Web content, as 
well as by making them accessible regardless of platform. 

Education initiatives will expand as the Museum takes advantage of new 
online tools and assets. American Art continues to develop its highly successful 
distance-learning program that reaches classrooms worldwide. The addition of a 
new videoconference center within the MacMillan Education Center will enable 

142 



American Art to serve more students. Partnerships with Government agencies such 
as the National Park Service and National Archives and Records Administration 
expand the Museum's reach to more diverse audiences. The intern program, 
hosting approximately 50 students (this past year, from 19 states, Washington, DC, 
Japan, and Canada), will prepare the next generation of museum professionals. 
The Clarice Smith American Art Education Initiative will again host two institutes for 
more than 50 teachers (last year representing 18 states, Washington, DC, Guam, 
and Puerto Rico). The CISCO Virtual Institute will provide online, on-demand 
courses for K-12 teachers to develop resources and skills so they can more 
effectively use technology to incorporate art into their core curricula. 

The safe storage and display of collection objects always is a top priority. 
American Art continues to develop public interest and awareness of preservation 
issues through the Luce Foundation Center and the Lunder Conservation Center 
and their many other public programs. The acquisition of new tools and 
instrumentation will allow more complete monitoring of the collection and application 
of leading-edge conservation techniques to preserve the collection. Artworks will be 
acquired to fill gaps in the collection identified through the Museum's collections 
plan. Time-based media (i.e., works which exhibit a changing observable state such 
as videos or LEDs) and Latino art will receive special attention. 

Information technology and administrative procedures will be strengthened 
through close monitoring of resources and processes, especially as budgets 
tighten. Strong partnerships with Smithsonian central offices enable American Art 
to provide an end-user perspective on policy changes. Use of the Museum's 
searchable, Web-based Wiki format keeps staff current on the ever-changing 
procedural and regulatory environment. Continual review of work processes and 
conditions will be followed by proactive implementation and use of safer techniques 
and materials for both staff and the Museum environment. 

NONAPPROPRIATED RESOURCES — Nearly all of American Art's non-personnel 
costs, including those for exhibitions, educational and public programs, and 
additions to the national collection, are paid with funds provided by individuals, 
foundations, and corporations. Donor/sponsor-designated funds support specific 
programs and projects. American Art's Capital Campaign is putting special emphasis 
on endowments so as to provide secure funding for these ongoing projects and 
activities. For example, in FYs 201 1 and 2012 the Museum added two new 
endowments to support curatorship in American crafts. Additionally, general trust 
funds support salaries and benefits for about 40 percent of staff, as well as all 
fundraising activities and related costs. 

The Renwick Gallery's major building systems are past their life expectancy 
after more than 40 years of use. An architecture/engineering firm was hired in 
FY 2012 to design the renovation of this Historic Landmark Building. The Museum is 
committed to raising private funds towards the renovation. 



143 



Introduction, Mission Enabling 

The backbone of the Smithsonian must remain a dedicated 
workforce of employees and volunteers with 21st century skills and 
perspectives. Strong, responsive support services — such as 
collections stewardship, facilities management, Web and new media, 
audience research, marketing, and financial management — are 
essential to accomplish the Smithsonian's mission and vision. Finally, 
we need to generate revenue in new ways to ensure that we can fund 
our vision for the future. 

UNITS primarily associated with Mission Enabling: 
Outreach 

Communications 

Institution-wide Programs 

Office of Exhibits Central 

Museum Support Center 

Museum Conservation Institute 

Smithsonian Institution Archives 

Smithsonian Institution Libraries 

Office of the Chief Information Officer 

Administration 

Office of the Inspector General 

Facilities Maintenance 

Facilities Operations, Security, and Support 

144 



OUTREACH 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOV'T GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


62 


9,592 


29 


4,614 


6 


2,496 


4 


2,502 


FY 2012 
ESTIMATE 


62 


9,277 


24 


3,487 


8 


3,506 


10 


698 


FY 2013 
ESTIMATE 


62 


9,315 


25 


3,571 


6 


3,609 


12 


923 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


2 


1,325 


2 


1,328 





3 


Ensure the advancement of knowledge in the humanities 





1,013 





1,015 





2 


Broadening Access 














Public Programs 














Provide reference services and information 


3 


414 


3 


415 





1 


Exhibitions 














Offer compelling, first-class exhibitions 


40 


4,750 


40 


4,773 





23 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


12 


1,296 


12 


1,303 





7 


Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


1 


95 


1 


95 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


4 


384 


4 


386 





2 


Total 


62 


9,277 


62 


9,315 





38 



BACKGROUND AND CONTEXT 

Broadening Access is a key component of the Smithsonian's Strategic 
Plan. All of the Institution's outreach activities link the Smithsonian's national 
collections, research, and educational resources with Americans from coast to 



145 



coast. Its aims are to 1) broaden the audiences who share in the nation's rich 
cultural heritage; 2) enhance widespread research-based knowledge of science, 
history, and art; and 3) provide opportunities for educators and scholars to further 
increase and diffuse knowledge. 

Smithsonian outreach programs serve millions of Americans, thousands of 
communities, and hundreds of institutions in all 50 states, through loans of objects, 
traveling exhibitions, and sharing of educational resources via publications, lectures 
and presentations, training programs, and websites. Smithsonian outreach 
programs work in close cooperation with Smithsonian museums and research 
centers, as well as with 150 affiliate institutions and others across the nation. 

This line item includes the programs that provide the critical mass of 
Smithsonian Across America outreach activity: the Smithsonian Institution 
Traveling Exhibition Service (SITES); Smithsonian Affiliations; the Smithsonian 
Center for Education and Museum Studies (SCEMS); the Office of Fellowships 
and Internships (OFI); and the Smithsonian Institution Scholarly Press (SISP). 
The Smithsonian Associates and the National Science Resources Center, which 
receive no direct federal funding, are also part of this national outreach effort. 

For FY 201 3, the budget request includes an increase of $38,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

Smithsonian Institution Traveling Exhibition Service (40 FTEs and 
$4,773,000) — Now operating under the Smithsonian's Office of the Assistant 
Secretary for Education and Access, SITES in FY 2013 will celebrate its 61st year 
of sharing Smithsonian exhibitions and educational resources with people and 
places all across the country. More than 500 communities in all 50 states will host 
SITES shows in formats ranging from large-scale interactive exhibits for 
mainstream art, history, and natural history museums to portfolio and poster sets 
tailored to school classrooms. Encompassing subjects that parlay the 
Smithsonian's vast collection and research pursuits, SITES' FY 2013 offerings will 
address such topics as military mail, ecology, hometown sports, and the 
exploration of outer space. 

SITES is a national leader in exhibitions that honor and celebrate the 
cultural heritages of African Americans, Latinos, Asian Pacific Americans, Native 
Americans, and the many other peoples who give our nation its unique vitality. 
FY 2013 resources will continue to be dedicated to this focus, generating cross- 
cultural public engagement through such exhibition topics as Latino music; a 
celebration of Native American achievement; ethnic foodways; African American 
aviation history; and the skateboarding traditions originating in Native American 
reservation communities. Broad distribution of a poster exhibit on the bracero 

146 



program to migrant education centers in all 50 states will give this long 
disenfranchised group a sense of pride in their heritage and a newfound 
affiliation with the Smithsonian. 

SITES' landmark Museum on Main Street (MoMS) initiative will continue to 
enrich in tangible ways the underserved populations of rural America, whose 
access to national cultural programs is limited. Community enthusiasm joins with 
local merchants and regional educators when small-town USA opens its doors to 
the Smithsonian. In FY 2013, SITES will extend the reach of MoMS exhibitions 
not only out into the Pacific to Hawaii and Guam, but also to the most remote 
corners of Alaska. 

Education, scientific research, and the harnessing of technology to reach 
younger generations are central tenets of today's Smithsonian, and SITES will be 
positioned in FY 2013 to address all three in groundbreaking exhibits. Included 
among them will be Titanaboa: Monster Snake, The Evolving Universe, X-ray 
Vision, and various complementary mobile and online applications that will spark 
the imagination and engagement of young people beyond the core exhibit 
setting. 

While Americans may know the Smithsonian from one-time school trips or 
family visits, the presence of the Institution's resources on their home-town turf 
has a deeper resonance. SITES exhibitions represent the valuable public impact 
of the federal dollar. They are a source of immense local pride, bringing together 
people from diverse ethnic, age, and socio-economic groups to celebrate a 
shared national heritage. 

Smithsonian Affiliations (2 FTEs and $310,000) — The mission of 
Smithsonian Affiliations is to build a strong, national network of affiliated 
museums, and educational and cultural organizations which will facilitate the 
display of Smithsonian artifacts and expertise to communities across America. By 
working with both emerging and well-established museums of diverse sizes, 
subject areas, audience bases, and scholarly disciplines, Smithsonian Affiliations 
is creating the framework through which visitors unable to come to Washington, 
DC can experience the Smithsonian in their own communities. In addition, the 
Smithsonian is working closely with affiliated organizations to increase their 
audiences, expand their professional capabilities, and gain greater recognition in 
their local communities. There are currently 170 affiliate museums in 40 states, 
the District of Columbia, Puerto Rico, and Panama. 

These strategies have resulted in the display of more than 8,000 
Smithsonian artifacts in Affiliate locations, including items such as historic 
spacecraft, First Ladies' gowns, Civil War arms and uniforms, outdoor sculptures, 
scientifically significant mineral collections, and many more. Smithsonian 
scholars have participated in science literacy, American history, and art 
education programs at Affiliate locations. Professional development workshops, 



147 



internships, and visiting professional residencies have given Affiliates the 
opportunities to increase their knowledge and skills in areas such as collections 
management, exhibition planning, and museum administration. The Smithsonian 
Affiliations annual conference creates a forum for networking, information 
sharing, and future planning. New videoconferencing capabilities have also 
extended the reach of Smithsonian Affiliations. Current Affiliate projects build on 
the "Grand Challenges" outlined in the Smithsonian's Strategic Plan. 

Smithsonian Center for Education and Museum Studies (14 FTEs and 
$1,503,000) — Smithsonian content experts and educators will work together to 
help strengthen American education and enhance our nation's ability to compete 
globally. The Smithsonian will serve as a laboratory to create methods and 
models of innovative informal education and link them to the formal education 
system. SCEMS venues will take advantage of a range of interactive, Web-based 
technologies, and its programs will encourage continual exploration by learners 
of all ages. SCEMS will guide these educational efforts across the Smithsonian 
by creating an Institution-wide approach for education that leverages resources, 
strengthens communications, coordinates programming, and rewards innovative 
thinking and collaboration. 

Office of Fellowships and Internships (5 FTEs and $1,939,000) — The 

Office of Fellowships and Internships (OFI) has the central management and 
administrative responsibility for the Institution's programs of research, 
fellowships, and other scholarly appointments. One of its primary objectives is to 
facilitate the Smithsonian's scholarly interactions with students and scholars at 
universities, museums, and other research institutions around the world. The 
Office administers Institution-wide research support programs, and encourages 
and assists other Smithsonian museums, research centers and research offices 
with developing additional fellowships and visiting appointments. 

The Smithsonian Institution offers fellowships to provide opportunities for 
graduate students, pre-doctoral students, and postdoctoral and senior investigators 
to conduct research in association with members of the Smithsonian professional 
research staff, and to more effectively use the resources of the Institution. 

To achieve the goal of Excellent Research and maintain the Smithsonian's 
level of expertise in the research community, the Institution must be able to 
continue attracting the best scholars. OFI is increasing fellowship stipends to 
provide awards comparable to other prestigious programs in order for the 
Smithsonian to maintain a competitive edge. Since funding for stipends has 
remained flat, the Smithsonian has increased the value of each award, but has 
decreased the number of fellowships awarded. The Smithsonian is trying to raise 
private funding for the Institution's Fellowships and Scholarly Studies Program so 
that the Smithsonian has the resources necessary to help today's young 
scientists become the next generation's top researchers. In addition, OFI 
continues to provide current staff with the financial support needed to develop 



148 



new research initiatives, collaborate with other scholars, and establish the scope 
and feasibility of projects. 

Smithsonian Institution Scholarly Press (1 FTE and $790,000) — 

Through the Smithsonian Contributions Series program, continually published 
since 1875, SISP publishes and disseminates research conducted by 
Smithsonian staff and their collaborators. The federal funds will support the 
production of the first-class science results and widened public distribution to 
libraries, universities, other organizations, and the public. The program publishes 
monograph series in several subject areas, including anthropology, botany, 
marine sciences, paleobiology, zoology, museum conservation, and history and 
technology, as well as edited collections and proceedings of interdisciplinary 
findings. Furthermore, federal resources will underpin the publishing of scholarly 
books written by Smithsonian staff or books closely related to Smithsonian 
collections. This advances the Institution's strategic goal of Broadening Access to 
the national collections. 

NONAPPROPRIATED RESOURCES — General trust funds defray the costs of 
staff salaries and benefits, fund raising, exhibition design and production, 
publications, materials, outside specialists, and contractual services. 
Donor/sponsor-designated funds cover costs related to specific projects and 
programs. 



149 



COMMUNICATIONS 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


19 


2,490 


25 


3,868 





1,047 








FY 2012 
ESTIMATE 


22 


2,740 


26 


3,893 





70 








FY 2013 
ESTIMATE 


22 


2,753 


26 


2,694 





20 









STRATEGIC GOALS: BROADENING ACCESS AND MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Broadening Access 














Public Programs 














Provide reference services and information 


8 


663 


8 


666 





3 


Mission Enabling 














Management Operations 














Enhance the reputation of the Smithsonian by 
maintaining good relations with the news media and 
with federal, state, and local governments 


10 


1,608 


10 


1,618 





10 


Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


3 


352 


3 


352 








Strengthen an institutional culture that is customer 
centered and results oriented 


1 


117 


1 


117 








Total 


22 


2,740 


22 


2,753 





13 



BACKGROUND AND CONTEXT 

The Office of Communications and External Affairs (OCEA) consists of 
four departments: the Office of Public Affairs (OPA), the Office of Government 
Relations (OGR), the Office of Visitor Services (OVS), and the Office of Special 
Events and Protocol (OSEP). 

OCEA coordinates the Smithsonian brand strategy and oversees internal 
communications. The Office trains staff about the Institution's priorities and 
objectives, and informs them about important initiatives, enabling the Institution 
to execute its mission. OCEA is responsible for implementing the Smithsonian 
brand strategy, both internally and externally, ensuring the Smithsonian will reach 
more people. By improving internal communications to more effectively and 

150 



efficiently inform staff of Institution-wide policies, initiatives and events, OCEA 
encourages cross-unit collaboration. 

OPA coordinates public relations and communications with museums, 
research centers and offices to present a consistent and positive image of the 
Institution. The Office meets its mission goals by strategically advancing the 
Institution's objectives, connecting people with Smithsonian experts, research, 
exhibitions, and public programs, and by working with conventional media outlets 
and social media. OPA connects to online audiences by overseeing content such 
as Visitor Information, Events, Exhibits, and Encyclopedia Smithsonian on the 
central website. OPA also administers content on Newsdesk, the Smithsonian's 
online newsroom. OPA works with units throughout the Institution to establish 
and maintain guidelines and standards. 

OGR is a liaison between the Smithsonian Institution and the federal 
Government. This includes members and staff of the U.S. House of 
Representatives and Senate appropriations and oversight committees and other 
congressional offices, the White House, the Office of Management and Budget, 
and various federal agencies. OGR also works with other Smithsonian offices, 
informing them of federal-sector activities, tracking legislation pertinent to them, 
showcasing their exhibits, programs and discoveries for interested congressional 
offices, and managing their requests for high-ranking Government officials to 
participate in events. 

OVS enables the Smithsonian's mission through its activities as the 
primary point of contact for Smithsonian visitors and volunteers. OVS goals focus 
on the recruitment and training of highly qualified, motivated and diverse 
volunteers to engage with visitors and assist Smithsonian staff with 
accomplishing research projects. OVS also provides online and print resources 
for visitors, and answers any questions they receive through public inquiry 
communication. 

OSEP contributes to the advancement of the Institution by taking a 
leadership role in the planning and execution of a wide variety of special events 
and conferences. The Office participates in strategic decision making by 
developing events to help the Institution achieve its goals and objectives. 

For FY 201 3, the budget estimate includes an increase of $1 3,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

OPA allocates resources for national and international media publicity and 
to expand minority relationships through targeted social media outlets. OPA has 
primary responsibility for extending the Institution's communications message to 



151 



online audiences by managing content on the central website and on Newsdesk. 
OPA works with units throughout the Institution to establish and maintain 
guidelines and standards. OPA also produces Smithsonian Science, an online 
blog devoted to scientific research. 

OPA initiates and responds to all media inquiries in a timely manner with 
accurate, concise information, and generates story ideas for the media featuring 
Smithsonian experts, exhibitions, research, and programs. 

OVS formats and edits information for Smithsonian visitor-based websites, 
a central events calendar, a central exhibitions database, and selected 
publications. Staffers oversee the Smithsonian-wide visitor orientation 
information signs. Through the general Smithsonian email address, central 
telephone number, and the Smithsonian Information Center, personnel promote 
visitor education and direct Smithsonian stakeholders to appropriate Smithsonian 
staff offices. OVS staff educates visitors about the history of the Smithsonian 
Institution Building through a docent program. Staff implements strategies for 
volunteer recruitment, training, placement, and scheduling to support the 
Smithsonian's mission. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits of personnel and other related costs. In addition, these funds 
provide general support for information dissemination, outreach, publications, 
and general operations. 



152 



INSTITUTION-WIDE PROGRAMS 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 





11,607 




















FY 2012 
ESTIMATE 





10,910 




















FY 2013 
ESTIMATE 





12,328 





















STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
STRENGTHENING COLLECTIONS; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


sooo 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 





1,301 





1,303 





2 


Broadening Access 














Public Programs 














Provide reference services and information 





1,119 





1,121 





2 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 





5,460 





6,869 





1,409 


Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 





3,030 





3,035 





5 


Total 





10,910 





12,328 





1,418 



BACKGROUND AND CONTEXT 

Since 1993, Congress has approved the creation of the following four 
Institution-wide funding programs: 

• Research Equipment Pool 

• Latino Initiatives Pool 

• Collections Care and Preservation Fund 

• Information Resources Management Pool 



153 



In 1993, Congress approved the Smithsonian's reallocation of funds to 
create two Institution-wide funding programs: the Research Equipment Pool to 
support the units' needs for state-of-the-art research equipment, and the 
Information Resources Management (IRM) Pool to systematically address 
information technology (IT) needs throughout the Institution. The Institution first 
received funds in FY 1995 to support the development of a third Institution-wide 
program, this one for Latino initiatives, including research, exhibitions, and 
educational programming. In FY 1998, Congress approved a $960,000 increase 
to the IRM Pool specifically dedicated to collections information systems (CIS) 
needs. The FY 2006 appropriation included an increase of $1 million to establish 
another Institution-wide program — the Collections Care and Preservation Fund 
(CCPF). The CCPF provides resources for the highest priority collections 
management needs throughout the Institution to improve the overall stewardship 
of Smithsonian collections. 

The budget request includes an increase of $1,400,000 in the Institution- 
wide programs and $18,000 to address inflation adjustments in this line item. The 
program increases include $1,400,000 for the Collections Care Initiative. The 
budget request also includes an increase of $900,000 for collections needs for 
the National Zoological Park (NZP), which is justified here to strategically 
address critical collections care needs, but is included in the NZP unit narrative of 
this budget submission. 

ADDITIONAL BACKGROUND AND CONTEXT — COLLECTIONS CARE INITIATIVE 

Collections stewardship is a key component and core priority of the 
Smithsonian's Strategic Plan. Assembled over 165 years, Smithsonian collections 
are fundamental to carrying out the Institution's mission and Grand Challenges, 
serving as the intellectual base for scholarship, discovery, exhibition, and 
education. As recognized by the America COMPETES Act reauthorization, the 
proper management, documentation, preservation, and accessibility of collections 
are critical to the nation's research and education infrastructure, enabling 
researchers to address significant challenges facing society which involve the 
effects of climate change, the spread of invasive species, and the loss of 
biological diversity and its impact on the global ecosystem. The Institution must 
substantially improve collections care to ensure that Smithsonian collections 
remain available for current and future use. The volume, characteristics, 
complexity, and age of Smithsonian collections, as well as the variety of 
discipline-specific standards that apply to their care, make their management as 
unprecedented, challenging, and complex as the collections themselves. 

Currently, Smithsonian collections total 137 million objects and 
specimens; more than 1 20,000 cubic feet of archives; and 1 .9 million library 
volumes and materials, including rare books. Among the vast collections are 
irreplaceable national icons, examples of everyday life, and scientific material 
vital to the study of the world's scientific and cultural heritage, covering subjects 
from aeronautics to zoology. Through its collections, the Smithsonian presents 

154 



the astonishing record of American and international artistic, historical, cultural, 
and scientific achievement, with a scope and depth that no other institution in the 
world can match. As the steward of the national collections, the Smithsonian has 
the unique responsibility and historic tradition of preserving and making 
accessible its collections that are held in trust for the public. 

Collections stewardship — the deliberate development, maintenance, 
preservation, documentation, use, and disposition of collections — is not a single 
process or procedure, but a series of components which are interwoven, 
interdependent, and ongoing. The condition of facilities housing collections, the 
quality of storage and preservation, and the ability to document collections in manual 
and digital formats directly affect the Smithsonian's ability to make collections 
available to scholars and the general public worldwide. Because collections 
stewardship is fundamental to the Smithsonian's mission, there is a critical and 
urgent need for new resources to accomplish basic collections management 
activities for accountability, preservation, and accessibility of the collections. 

The Administration has defined stewardship of federal scientific collections 
as a key priority that is critical for maintaining America's excellence and 
leadership in science and technology. In this context, Smithsonian scientific 
collections serve an important role in public health and safety, national security, 
trade and economic development, medical research, and environmental 
monitoring. In addition, Smithsonian cryo-collections support the use of new 
technologies in emerging Institution-wide and national research initiatives. 

Improved care of collections is a national priority. In early 2009, the 
Interagency Working Group on Scientific Collections (IWGSC), established by the 
Committee on Science of the National Science and Technology Council and co- 
chaired by the Smithsonian, issued a report on the current state of federal 
scientific collections and provided recommendations for their management and 
use. The Smithsonian has made excellent progress at raising the level of 
collections care and accessibility with improved collections care funding in recent 
years, and is now a leader in the federal community. The Smithsonian's 
collections care initiative and the FY 2013 requested increase directly support the 
recommendations of the IWGSC report, Scientific Collections: Mission-Critical 
Infrastructure for Federal Science Agencies, the Organization for Economic 
Cooperation and Development Global Science Forum, and the America 
COMPETES Act reauthorization, by taking a systematic approach to safeguarding 
collections for current and future generations of researchers and scientists. 

MEANS AND STRATEGY — RESEARCH EQUIPMENT POOL 

The Smithsonian's ambitious research agenda requires appropriate 
equipment to reach its goal of Excellent Research. This basic equipment 
infrastructure requires regular maintenance, upgrades, and routine replacement. 
With the current allocation, the Institution will strive to prioritize and address the 
many research needs throughout the Smithsonian community. 

155 



MEANS AND STRATEGY— LATINO INITIATIVES POOL 

To achieve the goal of Broadening Access through research, exhibitions, 
collections, performing arts, and educational initiatives, the Latino Initiatives Pool 
provides annual funding for Smithsonian programs that focus on U.S. -Latino 
experiences and contributions to science, history, art, music, and society. Pool 
funds enhance the Smithsonian's ability to provide relevant programming through 
the support of exhibits, collections management, public programs, education, 
research, and community/public outreach and the acquisition of Latino art and 
artifacts. Projects are selected on a competitive basis from proposals that 
demonstrate effective deployment of the pool funds, other Smithsonian resources, 
and external funding. 

MEANS AND STRATEGY — COLLECTIONS CARE INITIATIVE 

To achieve the goals of Strengthening Collections and Broadening Access, 
resources will be applied to address these most critical collections areas: 

• Collections care and preservation; and 

• Collections information systems 

The collections care and preservation resources will enable the Smithsonian 
to implement an Institution-wide collections assessment program, properly 
preserve collections, and store them in better conditions for use; the collections 
information systems resources will further the digitization of collections information 
and images, and provide improved public access to the national collections 
through the Web and mobile applications. 

Smithsonian management acknowledges that an effective strategy for 
addressing collections challenges depends on a coordinated, Institution-wide 
approach. Three important pan-Institutional initiatives currently underway inform 
the Institution's strategies, budget request, and the allocation of resources: 

o the implementation of an Institution-wide collections assessment 
that guides long-term strategic plans for collections, identifying areas 
where improvements are needed, establishing priorities, measuring 
progress, and providing a practical framework for the allocation of 
collections resources; 

o the establishment of a central Digitization Program Office and 
implementation of a Digitization Strategic Plan to guide the 
digitization of collections and research holdings, including the 
issuance of central policy guidance, development of unit digitization 
plans and asset management plans, and documentation of progress 
in the digitization of collections; and 



156 



o the implementation of Institution-wide collections space planning to 
survey the current condition of Smithsonian collections space and 
develop a master plan for addressing current and projected 
collections space requirements throughout the Institution. 

• Collections Care and Preservation 

The Smithsonian has made significant progress at raising the level of 
collections care and accessibility with targeted collections care funding. 
Through collections assessments, long-term planning, and prioritization, the 
Smithsonian is strengthening collections in a pragmatic, strategic, and 
integrated manner. Holistic collections-level management has capitalized on 
economies of scale and enabled comprehensive collections care 
improvements that benefit the greatest number of collections items in an 
efficient, practical, and cost-effective way. 

In FY 2010, the Smithsonian conducted an Institution-wide collections 
assessment. As part of the assessment, Smithsonian collecting units 
grouped and assessed their collection holdings by defined pragmatic or 
nominal subunit collections based on their management and use, 
characterizing the quality of collections storage equipment, preservation, 
physical access, and collections space. Based on the collections 
assessment results, this budget request will target specific collections and 
improve substandard aspects of collections care to an acceptable level, 
providing essential resources to meet professional standards of collections 
care and address the Institution's highest priority collections management 
needs, including Institution-wide initiatives regarding the management and 
preservation of cryo-materials and time-based media. This will enable the 
Smithsonian to use the requested funds in the most efficient and cost- 
effective manner possible. 

During FY 201 1 , as part of the Institution's collections space planning 
initiative, the Smithsonian completed a survey of its collections space. The 
baseline data provides a snapshot of current collections space conditions 
throughout the Institution. To address near-term space requirements based 
on the collections space survey and collections assessment, the 
Smithsonian requests capital funding to correct the most severe collections 
space deficiencies at the Garber Facility in Suitland, Maryland. Constructed 
in the 1950s and 1960s, the Butler-style buildings were originally designed 
as temporary structures. Although some buildings have been added or 
replaced, most have long passed their useful lifespan, are structurally 
compromised or failing, and are substandard facilities for housing 
collections. For example, environmental conditions are inadequate and 
hazardous to collections, including asbestos and lead-containing dust 
contamination, while overcrowding severely restricts physical access, 
preservation, and use of the collections. The Facilities Capital request 
supports the decontamination, accountability, stabilization, crating, and 

157 



move of National Museum of American History (NMAH) and National Postal 
Museum (NPM) collections in Building 15, which will be the first step toward 
a phased redevelopment plan for the Garber Facility. 

The Collections Care and Preservation Fund provides vital resources to 
ensure that the Institution meets its collections stewardship responsibilities and 
makes progress toward addressing the Smithsonian's critical collections needs. 
Collections care funding provides resources for the Smithsonian to implement the 
Institution-wide collections assessment program, address the Smithsonian 
Inspector General's collections-related audit recommendations, and improve the 
preservation, storage, and accessibility of collections currently at risk of loss or 
damage. 

The Smithsonian will strategically correct collections care deficiencies 
identified in the Institution-wide collections assessment that serves as a model for 
use by museums and federal agencies in the management and preservation of 
collections. Stewardship of collections is a key component of the Smithsonian's 
mission and a core priority of the Smithsonian's Strategic Plan, as well as a 
national priority critical to the country's research infrastructure. Collections care 
funding directly supports the Smithsonian's overarching goal of strengthening the 
preservation and accessibility of collections that are vital to current and future 
scholarly research, education, and the nation's scientific enterprise. 

In FY 2013, the Smithsonian will continue to build on these initiatives and 
follow an action plan for strategically addressing the critical preservation and 
storage needs of collections, based on the results of the Institution-wide collections 
assessment and collections space survey. 

• Collections Information Systems 

Smithsonian collections information systems (CIS) serve as a foundation for 
accountability, public education, and research of the Institution's collections. 
Digitizing collections information supports the strategic goals of 
Strengthening Collections and Broadening Access by improving 
accountability and accessibility of the national collections via the Web and 
mobile applications. CIS resources directly support the Institution's mission 
and Grand Challenges by building and maintaining core collections 
information systems; funding the continued digitization of collections; and 
improving access to digital collections information for scientific inquiry and 
public engagement. Successful results of past funded projects include: 

o the digitization of millions of collections records and images made 

available to researchers and the public; 
o the migration of millions of records from obsolete legacy database 

systems to stable and accessible collections information systems; 
o the improved accountability of registration-level records with curatorial 

research, digitized legal documentation, and verified provenance; 

158 



o the sharing of scientific data with researchers and scientists around the 

globe; 
o the purchase and customization of a digital asset management system 

used by multiple Smithsonian units, which delivers images to the 

Enterprise Digital Asset Network (EDAN); and 
o the purchase and implementation of a single, commercial collections 

information system for the Smithsonian's six art museums as well as the 

National Air and Space Museum, the National Postal Museum, the 

Anacostia Community Museum, and the National Museum of African 

American History and Culture. 

MEANS AND STRATEGY— INFORMATION RESOURCES MANAGEMENT POOL 

IRM Pool funds support network operations and server administration. 
Specifically, funds are used for: 

• upgrades and enhancements to the Smithsonian's IT infrastructure 

• contractor support in the Network Operations Center 

• provision of Active Directory and desktop migration technicians 

• network hardware/software maintenance 

• digitization of collections information and images 

• public delivery of Smithsonian digital assets 

FY 2013 REQUEST — EXPLANATION OF CHANGE (COLLECTIONS CARE 
INITIATIVE) 

The FY 2013 budget estimate for Institution-wide programs includes an 
increase of $1 ,400,000 for the Collections Care and Preservation Fund. This 
request directly supports the Smithsonian's Strategic Plan to continually improve 
the quality of collections preservation, storage space, management, information 
content, and physical and electronic access while leveraging resources to 
support Institution-wide initiatives that strategically address Smithsonian 
collections care. Collections care funding directly supports the Smithsonian's 
overarching goal of improving the preservation of and accessibility to the 
collections that are vital to current and future scholarly research, education, and 
the nation's scientific enterprise. 

The increases highlighted below will assist in achieving the strategic goal 
of Strengthening Collections by improving collections management, mitigating 
collections deterioration, and supporting Smithsonian-wide initiatives that 
strategically address the Institution's most critical collections care needs. 

• Collections Care and Preservation Fund (+$1,400,000) 

This budget increase provides essential resources to meet professional 
standards of collections care. These funds will enable the Institution to 

159 



provide better access to the national collections as well as the improved 
storage, conservation, and preservation resources needed to ensure the 
longevity and availability of the national collections. The increases are as 
follows: 

o (+500,000) to address the Smithsonian's Inspector General audit 
recommendations regarding specific deficiencies in collections 
management at NMAH. The funding increase will strengthen 
inventory controls and documentation, thereby improving 
collections accountability and accessibility. 

o (+$500,000) to stabilize, conserve, re-house, catalogue, store, and 
digitize collections for long-term preservation and accessibility. The 
increase will improve the preservation, management, and 
accessibility of collections identified as being at risk during the 
collections assessment and collections space survey. 

o (+$400,000) to purchase storage units and drawers to replace 
obsolete, substandard storage cabinetry that is detrimental and 
hazardous to collections, staff, and researchers. Providing 
sufficient, secure, and appropriate storage equipment is the most 
effective and efficient way to minimize physical and security risks to 
the collections and to improve overall accessibility. The purchase of 
such cabinetry is a lasting infrastructure investment in the long-term 
preservation interest of Smithsonian collections. 

Unit-Based Collections Care and Preservation (+$900,000) 

This budget increase provides the National Zoological Park (NZP) with 
resources to support the welfare and care of the animal collection. 
Excellence in animal care is paramount for maintaining the Zoo's 
accreditation by the Association of Zoos and Aquariums (AZA), as well as 
for maintaining compliance with the Animal Welfare Act. The requested 
increase supports animal nutrition, and will cover increasing health care 
costs as well as necessary supplies, operational, enrichment, and 
transportation costs needed to care for the animal collection. Additional 
details are provided in the NZP unit narrative of this budget submission. 



160 



OFFICE OF EXHIBITS CENTRAL 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


27 


3,006 


6 


361 














FY 2012 
ESTIMATE 


28 


3,007 


4 


509 














FY 2013 
ESTIMATE 


28 


3,024 


4 


509 















STRATEGIC GOALS: BROADENING ACCESS AND MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


sooo 


FTE 


$000 


Broadening Access 














Exhibitions 














Offer compelling, first-class exhibitions 


23 


2,429 


23 


2,446 





17 


Mission Enabling 














Management Operations 














Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse. 


5 


578 


5 


578 








Total 


28 


3,007 


28 


3,024 





17 



BACKGROUND AND CONTEXT 

The mission of the Office of Exhibits Central (OEC) is to be a full-service 
design, editing, and production shop supporting Smithsonian public exhibitions; 
serving units within the Smithsonian that have no design, editing or production 
capabilities; providing the entire Smithsonian exhibition community with specialized 
skills and equipment; and supporting resource-sharing among units. 



To achieve the strategic goal of Broadening Access, the OEC will continue to 
focus on its core mission of designing and producing exhibitions for the Institution. 
Clients with limited or no design or production capabilities can use the OEC for full 
exhibition services, including design, editing, graphics production, cabinetry, model 
making, and crating. The OEC fosters collaboration among units by providing 
consultations, especially in the early stages of an exhibition. With their broad array of 
skills, the OEC team of experts can network across the entire Smithsonian, resulting in 
more compelling exhibits that connect the American people to their history and cultural 
and scientific heritages. For clients who need specialized services, the OEC will continue 
to develop its expertise in computer-controlled production and automated modeling 

161 



technologies, such as 3D scanning and printing. In addition, the OEC will provide 
opportunities for Smithsonian colleagues to take advantage of its state-of-the-art facility, 
allowing trained staff to work with its specialized equipment. The OEC's Object Storage 
Facility (OSF) offers secure, climate-controlled storage for artifacts during production. 

The OEC's Special Exhibitions Division (SED) will continue supporting 
exhibitions in the S. Dillon Ripley Center galleries, as well as in the Commons, 
Schermer, and Great Hall galleries in the Smithsonian Castle. 

For FY 2013, the budget estimate includes an increase of $17,000 for necessary 
pay and other related salary costs for existing staff funded under this line item. 

MEANS AND STRATEGY 

As the Smithsonian's most comprehensive producer of exhibits, the OEC is 
dedicated to providing its Smithsonian clients with first-class exhibition design, editing, 
production, and installation services. Each year, the OEC designs and produces 
approximately 100 projects, large and small, for almost every office and museum in 
the Smithsonian. 

In FY 2013, most OEC resources will be focused on achieving the goals of 
Broadening Access and Mission Enabling by improving the quality of exhibition design 
and production at the Smithsonian. This will be done by: 

• improving the quality of exhibition design, consultation, production, and 
installation services 

• increasing and maintaining staff knowledge and expertise in state-of-the-art 
technology, techniques, and advances in the exhibition field, and upgrading 
equipment to support emerging trends 

• cross-training staff within the OEC to share expertise and maximize efficiencies 

• providing industry demonstrations of new technologies to Smithsonian units 

• playing a lead role in the Exhibition Redesign Team's commitment to exhibition 
excellence, unit sharing, and advancement 

The OEC will accomplish these objectives by focusing exclusively on exhibit- 
related work, freeing up OEC staff with specialized experience to concentrate on 
OEC's core mission: the design and production of exhibits. Building on well- 
established, collaborative relationships with other Smithsonian design and production 
units, OEC will play a stronger role in sharing their expertise with other Smithsonian 
units. These initiatives should result in a more informed and expert staff capable of 
promoting collaboration in the museum community, and dedicated to making the 
Smithsonian a leader in the exhibition field. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries and 
benefits of personnel and associated costs for the OEC's record-keeping system and 
specialized computer support. 

162 



MUSEUM SUPPORT CENTER 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


22 


1,870 




















FY 2012 
ESTIMATE 


23 


1,871 




















FY 2013 
ESTIMATE 


23 


1,881 





















STRATEGIC GOAL: STRENGTHENING COLLECTIONS 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


23 


1,871 


23 


1,881 





10 


Total 


23 


1,871 


23 


1,881 





10 



BACKGROUND AND CONTEXT 

The Museum Support Center (MSC) is the Smithsonian's principal off-site 
collections preservation and research facility. Located in Suitland, Maryland, this 
facility houses more than 55 million objects, or 40 percent of the Institution's 
irreplaceable national collections, primarily from the National Museum of Natural 
History (NMNH). Other Smithsonian museums that use MSC are the National 
Museum of American History, the Hirshhorn Museum and Sculpture Garden, the 
Freer and Sackler Galleries, the National Museum of African Art, the National 
Postal Museum, the Smithsonian Environmental Research Center, and the 
National Zoological Park. During the past five years, the MSC has greatly 
expanded the capacity of the facility by adding one Pod and renovating a second, 
and by installing high-density mobile storage systems in these new spaces. The 
MSC accommodates collections in a variety of state-of-the-art equipment: 
collections in cabinets; mobile shelving for biological specimens preserved in 
alcohol; meteorites in nitrogen atmosphere, and tissues and film in mechanical 
and nitrogen vapor freezers; high bay storage for very large objects such as 
totem poles, boats, and large mounted mammals; and large mobile racks for 
storing art. 



163 



The facility also houses laboratories for molecular systematics, 
conservation, and other specialized research. The MSC supports contracted 
maintenance services and required calibration for much of the specialty 
collections preservation and laboratory equipment, such as environmental 
chambers, freezers, nitrogen systems, fume hoods, reverse osmosis water 
systems, and oxygen detection systems. The MSC staff provides disaster 
response and management services, including a hazardous response team; 
construction coordination and logistics support; safety and pest control; 
collections relocation; administrative, shipping and receiving services; and 
computer support services for administrative, research, and collections data 
management needs. 

For FY 2013, the budget estimate includes an increase of $10,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

To support the Smithsonian strategic goal of Strengthening Collections, 
the FY 2013 funding will be used to complete relocation of frozen tissue 
collections from the NMNH Bio-Repository. MSC staff will also work on recovery 
from the earthquake of August 201 1 , moving cabinetry back into position and 
stabilizing broken and unsecured collection objects to protect them and prevent 
future damage. 

In FY 201 3, MSC staff will continue to support maintenance of the 
collections and the research equipment needed to protect staff and collections. In 
addition, the MSC will prepare for the multi-phased master plan renovations at 
the Center, which will improve and update support systems and laboratory 
spaces at the facility. 



164 



MUSEUM CONSERVATION INSTITUTE 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


21 


3,230 





21 





23 





2 


FY 2012 
ESTIMATE 


22 


3,231 





35 


1 


203 





20 


FY 2013 
ESTIMATE 


22 


3,247 





20 


1 


236 









STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Performance Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Engage in research and discovery 


7 


1,058 


7 


1,006 





-52 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


1 


47 


1 


89 





42 


Public Programs 














Provide reference services and information 


1 


123 


1 


125 





2 


Revitalizing Education 














Education 














Engage and inspire diverse audiences 


1 


136 


1 


138 





2 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


7 


1,083 


7 


1,089 





6 


Mission Enabling 














Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


4 


677 


4 


691 





14 


Modernize the Institution's financial management 
and accounting operations 


1 


107 


1 


109 





2 


Total 


22 


3,231 


22 


3,247 





16 



165 



BACKGROUND AND CONTEXT 

The Smithsonian's Museum Conservation Institute (MCI) is the center for 
specialized technical collections research and conservation for all Smithsonian 
museums and collections. The MCI combines knowledge of materials and the 
history of technology with state-of-the-art instrumentation and scientific 
techniques to provide technical research studies and interpretation of artistic, 
anthropological, biological, and historical objects. Through its Healthy 
Environments, Healthy Practices, Healthy Collections initiative and the training 
program "Preventing Illicit Trafficking — Protecting Cultural Heritage," the MCI 
responds to the threats that affect cultural heritage in multiple and complex ways, 
including developing less invasive and damaging storage, display, and 
conservation techniques, and by supporting U.S. agencies and the museum 
community in understanding and identifying illicitly trafficked cultural heritage. 

The MCI, as the only Smithsonian resource for technical studies and 
scientific analyses for most of the Smithsonian's collections, brings unique 
analytical capabilities to Smithsonian researchers, including a central mass 
spectroscopy instrument core and advanced technological capabilities. These 
services are available to Smithsonian units at no charge. In addition to requests 
for consultations from within the Smithsonian, the MCI responds to requests from 
affiliates and outside organizations, such as the White House, U.S. Congress, 
U.S. Department of Homeland Security — Immigration and Customs 
Enforcement, U.S. Department of State, and other federal, museum, and 
academic organizations. 

For FY 2013, the budget estimate includes an increase of $16,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

To achieve the strategic goal of Excellent Research, the MCI will provide 
increased technical and research assistance to the museums and scientific 
research centers. The MCI will initiate, facilitate, and support collaborative 
research projects on biological isotopes and proteomics, nanoscale analysis of 
museum materials, modern museum and collection materials such as plastics, 
the mechanisms of degradation and biodeterioration, and historical and 
archaeological technologies. The MCI will also use its website, publications, 
hosted symposia, presentations, invited seminars, and lectures to disseminate 
the results of its research programs. 

The MCl's technology transfer initiatives (digital and spectroscopic 
imaging, proteomics, modern materials, and biodeterioration) will cross all of the 
boundaries between Smithsonian units and support all of the Smithsonian's 
Grand Challenges and consortia. The MCl's exploration of new technologies in 

166 



spectroscopic imaging and proteomics will support the Grand Challenges of 
Unlocking the Mysteries of the Universe and Understanding and Sustaining a 
Biodiverse Planet, respectively. MCl's exploration of materials science related to 
modern materials will support the Grand Challenge of Understanding the 
American Experience and its research program The Age of Plastic. 
Biodeterioration research will use technology from Sustaining a Biodiverse Planet 
to support the Grand Challenge of Valuing World Cultures. The MCl's 
investigations of historical and archaeological materials and technologies will 
also support Valuing World Cultures. 

To achieve the goal of Broadening Access, the MCl's technical information 
office will continue serving the museum community, the cultural heritage 
management community, museum studies students, and the public. The 
technical information office answers direct inquiries and distributes general 
guidelines in printed and electronic formats, handling more than 800 information 
requests annually. MCl's website will be enhanced to increase the impact of the 
Institute's research and outreach programs. In addition, MCI is contributing to the 
Smithsonian's initiative in digitization and new media by developing new digital 
imaging capabilities appropriate for Facebook, Twitter, YouTube, Flickr, blogs, 
mobile applications, podcasts and virtual reality in ways that broaden access to 
collections, exhibitions, and outreach programs. 

The MCI will achieve the goal of Revitalizing Education by continuing to 
promote career development for Smithsonian conservators and other collections 
care providers through Grand Challenge consortia participation, colloquia, 
symposia, and workshops, as well as distance-learning opportunities. The MCI, 
in collaboration with Smithsonian museums and affiliates, will offer public 
programs to present the results of MCI research, heighten awareness of the 
problems of preserving cultural heritage, and gain information about the nature 
and scope of problems that the Institute's constituencies encounter. The MCI will 
also partner with Smithsonian museums and affiliates to offer media events, 
printed and Internet materials, presentations, workshops, and demonstrations to 
reach new audiences, especially those that will be targeted by the Institution's 
newest museums. The MCI will continue to offer internships for students 
pursuing careers in conservation and conservation science. 

To achieve the goal of Strengthening Collections, the MCI will support 
Smithsonian museums and research centers in their efforts to care for the 
national collections and disseminate that information to the larger museum 
community and the public. The MCI will continue its study of the assessment and 
remediation of collection hazards. In addition, the MCI will focus on developing 
and using less invasive and less damaging materials and procedures for 
collection conservation, reflecting the importance of incorporating energy-efficient 
and "green" materials and practices into the Institute's work. The MCI will pursue 
collaborative conservation treatment projects with other Smithsonian units to 
provide conservation guidance and art history technical consultations to the art 



167 



and history museums on their more challenging and unique objects. Through 
continuing communication and interaction with museum conservators, the MCI 
will identify special training needs and research projects, and will develop 
research and symposia to address the most urgent collection preservation 
needs, such as museum environments (involving light, temperature, and 
humidity), museum hazards (such as pests and pesticides), and collections 
storage. 

The MCl's umbrella theme, Healthy Environments, Healthy Practices, 
Healthy Collections, directly supports the Smithsonian's Strategic Plan priorities 
in all four Grand Challenge areas, although its primary impact will be in 
Understanding the American Experience and Valuing World Cultures. 

To achieve the goal of Mission Enabling, the MCI will use the 
Smithsonian's Strategic Plan and its own strategic plan to allocate its budgetary 
and human resources, and to secure additional financial resources for its high- 
priority programs. Resource allocations will be tracked against performance 
metrics in each of the strategic areas, and against the needs and goals of the 
Smithsonian's museums and research centers. The MCI will encourage staff to 
participate in budget-performance integration, succession management, and 
leadership development programs. In addition, the MCI will continue to 
implement and communicate efficient, rational, and creative operational and 
administrative practices which enable staff to advance the Smithsonian mission 
while ensuring that resources are wisely managed in a manner that reflects 
transparency and the Smithsonian's status as a public trust. The MCI will 
maintain an efficient, collaborative, committed, innovative, and accountable 
workforce through leadership, development, evaluation, and support of staff and 
the recruitment, selection, and development of diverse, highly skilled employees. 
MCI will promote diversity in all aspects of working with the Institution's 
operations, employees, Fellows, interns, and vendors. The MCI will continue to 
improve communications with internal and external stakeholders. 

NONAPPROPRIATED RESOURCES — Annually, the MCI receives non- 
appropriated resources from gifts and endowments, grants and contracts, 
discretionary income, and business ventures. These sources provide funds for 
specific programs and projects in research, education, and outreach designated 
by the donor/sponsor and for general activities at the discretion of the director. 
The Andrew W. Mellon Foundation challenge grant has resulted in a restricted 
endowment of $5 million, with an annual payout of approximately $250,000. The 
funds released by the endowment will remain in the MCI budget for strengthening 
conservation science research. 



168 



SMITHSONIAN INSTITUTION ARCHIVES 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


19 


2,189 


3 


395 


2 


170 





18 


FY 2012 
ESTIMATE 


20 


2,189 


4 


449 


2 


184 


1 


33 


FY 2013 
ESTIMATE 


20 


2,201 


4 


426 











11 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
STRENGTHENING COLLECTIONS; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 201 3 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Excellent Research 














Research 














Ensure the advancement of knowledge in the 
humanities 


2 


217 


2 


218 





1 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


2 


143 


2 


144 





1 


Public Programs 














Provide reference services and information 


3 


284 


3 


286 





2 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


10 


1,115 


10 


1,121 





6 


Mission Enabling 














Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


3 


430 


3 


432 





2 


Total 


20 


2,189 


20 


2,201 





12 



BACKGROUND AND CONTEXT 

The Smithsonian Institution Archives (SIA) serves as the institutional 
memory of a unique cultural organization. The history of the Smithsonian serves, 
in many ways, as the history of scientific enterprise in America, particularly in the 
19th century. SIA supports the Smithsonian community, scholars, and the public 
by evaluating, acquiring, and preserving the records of the Institution and related 
documentary materials, as well as making them accessible online and on site. 



169 



SIA manages the care, storage, packing, and retrieval services for most of the 
Institution's records. The permanent records are safeguarded and preserved in 
leased facilities in Washington, DC and Iron Mountain in Boyers, Pennsylvania. 
Electronic records are supported on SIA-owned servers and at the Institution's 
data center in Herndon, Virginia. In addition, SIA develops policies and provides 
guidance for managing and preserving the Institution's vast archival collections, 
offers a range of reference, research, and record-keeping services, and creates 
products that promote understanding of the Smithsonian and its history and 
mission. 

For FY 2013, the budget estimate reflects an increase of $12,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. 

MEANS AND STRATEGY 

In FY 201 3, SIA will continue to focus on capturing, preserving, and 
providing access to research materials on Smithsonian history. SIA will continue 
to support the needs of thousands of researchers seeking information from the 
Archives; provide online access to ever more information from or about the 
holdings (via its new, robust website launched in 201 1 ); collaborate fully with 
units serving broad external audiences (such as The Smithsonian Associates 
and the Smithsonian Affiliations Program); set archival collections-management 
standards; and assist all Smithsonian units with the proper disposition of their 
files. 

An ongoing challenge will be to care for and preserve the historical 
photographic collection that documents the visual history of the Institution. 
Currently, this collection is at risk in an aging, cold-storage vault facility located in 
the basement of the National Museum of American History. The vault is rapidly 
reaching the end of its lifespan. In FY 2013, the Institution will complete 
installation of a new cold-vault facility within the Smithsonian's Pennsy Drive 
Collections and Support Center in Landover, Maryland, that will provide pan- 
Institutional collections storage. SIA will rehouse, stabilize, and move its nearly 
three million negatives and color transparencies to this new cold-storage vault to 
ensure the continued preservation of the Institution's photographic collection. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits for an archivist, a paper conservator, a conservation technician, and 
a head of Web, new media, and outreach. In addition, a part-time book 
conservator position is funded by donor/sponsor-designated trust funds. 



170 



SMITHSONIAN INSTITUTION LIBRARIES 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 201 1 
ESTIMATE 


85 


9,963 


8 


1,225 


6 


1,865 








FY 2012 
ESTIMATE 


86 


9,967 


10 


1,460 


4 


1,916 








FY 2013 
ESTIMATE 


86 


10,165 


8 


1,337 


4 


1,916 









STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
STRENGTHENING COLLECTIONS; AND MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


sooo 


Excellent Research 














Research 














Engage in research and discovery 


17 


2,976 


19 


3,054 


2 


78 


Ensure the advancement of knowledge in the 
humanities 


21 


2,396 


19 


2,460 


-2 


64 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


6 


516 


6 


537 





21 


Public Programs 














Provide reference services and information 


4 


365 


4 


365 








Exhibitions 














Offer compelling, first-class exhibitions 


1 


74 


1 


74 








Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


24 


1,994 


24 


2,029 





35 


Mission Enabling 














Management Operations 














Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


1 


109 


1 


109 








Strengthen an institutional culture that is customer 
centered and results oriented 


12 


1,537 


12 


1,537 








Total 


86 


9,967 


86 


10,165 





198 



171 



BACKGROUND AND CONTEXT 

As the largest and most diverse museum library in the world, the 
Smithsonian Institution Libraries (SIL) leads the Smithsonian in taking advantage 
of the opportunities of the digital society. SIL provides authoritative information 
and creates innovative services for Smithsonian Institution researchers, scholars, 
visiting Fellows, and the general public, to further their quest for knowledge. 
Through paper preservation and digital technologies, SIL ensures broad and 
enduring access to the Libraries' collections for all users. 

For FY 2013, the budget estimate includes an increase of $48,000 for 
necessary pay and other related salary costs for existing staff funded under this 
line item. In addition, this request includes an increase of $150,000 to adequately 
address inflationary increases in library subscriptions. This increase will enable 
the Smithsonian Institution Libraries to cover the extraordinary inflation costs in 
purchasing journals and electronic databases which are critical to support the 
Institution's many research programs. Both of the above increases are included 
in the Fixed Costs section. 

MEANS AND STRATEGY 

SIL's strategic plan for 2009-2013, A Focus on Service, demonstrates the 
Libraries' dedication to providing information and creating innovative services 
and programs for the Institution and general public. SIL provides the correct 
selection of information resources (digital and print), and discovery tools to 
improve research productivity in support of the four Grand Challenges and 
Smithsonian Strategic Plan priorities. In 2013, SIL will continue to enlarge 
interactive engagement with users — through experimentation, trial projects, and 
Web-based communities — making SIL collections and other Web content 
available to millions of scholars, students, teachers, researchers, and interested 
people worldwide. SIL will expand its use of social media by making information 
available on mobile and tablet devices and by using blogs, Facebook, and Twitter 
to promote its programs and resources. SIL also reaches individual researchers 
and members of the public in every state and many foreign countries by 
acquiring and making available crucial books and articles on site and through its 
inter-library loan program. The Resident Scholar programs will continue to build 
collaborative partnerships worldwide with scholarly programs and individuals who 
find the Libraries' collections vital to their research. 

SIL will enhance researchers' access to Smithsonian collections through 
digital images and information offered on networked resources. Initiatives include 
developing Web-based discovery and retrieval tools and continuing to add new 
information to the Smithsonian Institution Research and Information System 
(SIRIS). For example, through the Smithsonian Collections Search Center, SIL 
provides access to research collections covering more than 460,000 pieces of 
commercial catalogues and trade literature, representing more than 27,000 



172 



manufacturers, corporations, and companies. SIL also makes available Art and 
Artists File material from the Libraries' art collections and provides users access 
to Smithsonian Research Online, which documents the scholarly output of the 
Institution at http://research.si.edu/. 

SIL continues to supply information resources that are critical to the 
Smithsonian's work by acquiring, preserving, cataloguing, and managing print 
and digital collections, particularly around the Smithsonian centers and areas of 
interdisciplinary research. SIL's Book Conservation Laboratory staff work to 
preserve and stabilize volumes that are damaged to ensure their availability for 
exhibition and future use, and the Libraries' Digital Imaging Center scans 
volumes to share on the Internet with users everywhere. SIL responds to staff 
and visitor needs by redesigning facilities to retain tightly focused, on-site 
collections integrated with collaborative space, while relieving overcrowded 
libraries by providing environmentally sound off-site shelving and housing at the 
Pennsy Drive facility. In FY 2013, renovations are continuing in the libraries in the 
National Museum of Natural History (NMNH), at the Smithsonian Environmental 
Research Center, and the Museum Support Center, as well as at the National 
Zoological Park's Smithsonian Conservation Biology Institute at Front Royal, 
Virginia. SIL continues to collaborate with National Museum of African American 
History and Culture in planning for its library space. 

SIL continues to inform the nation about its collections and to create 
interest in them through its exhibition program, which shows the intrinsic beauty 
of books as artifacts and cultural icons, as well as the value of books for the 
information they provide as documentation for art, science, and artifact 
collections. In NMNH, the Libraries will display heavily illustrated works from the 
19th and early 20th centuries, documenting information on species that now face 
environmental challenges. Most exhibitions have an online component to 
broaden the audience and keep the exhibitions updated for future learning. 

SIL collaborates with other Smithsonian units and external organizations 
in many ways. The Libraries create and publish digital research products to give 
scholars the documentation they need for their research in all fields. These 
products include republication of significant out-of-print books and articles, 
original diaries and manuscripts, collections of archival literature, illustrations, 
topical exhibitions, and bibliographic guides and databases. With the support of 
private funding, SIL houses the Secretariat for the Biodiversity Heritage Library. 
an international project to digitize and make easily available the legacy literature 
of biodiversity, involving partners in the United States, China, Australia, and 
Brazil. SIL will also continue digitizing its own biodiversity literature to contribute 
to this digital library. In 2013, SIL will expand its efforts to include digitization 
projects in history, arts, and culture. 

SIL partners with the Smithsonian Scholarly Press to produce the 
electronic SI Contributions series and other publications, including conference 



173 



proceedings, and also hosts and maintains the Scholarly Press's website. SIL 
maintains the Smithsonian Research Online (SRO) database, comprising both 
the Smithsonian Digital Repository (SDR) and the Smithsonian Research 
Bibliography (SRB) to preserve and provide permanent access to the published 
results of the Institution's scholarly research. In FY 2013, SIL will develop these 
tools to provide information to use as Smithsonian Key Performance Indicators. 
SIL will continue to work with the Institution's art and history museums to expand 
the content of the SRO system retrospectively, with the goal of eventually 
providing a complete record of Smithsonian research productivity. 

SIL will provide metadata guidance and incorporate, as appropriate, 
emerging national metadata standards on an Institution-wide basis for SIL and 
Smithsonian digital publications and products. 

NONAPPROPRIATED RESOURCES — General trust funds help defray the 
costs of providing information services to Smithsonian units, and support 
publications, public programs, and fundraising efforts. In FYs 2012 and 2013, SIL 
will increase its efforts to raise funds through full participation in the 
Smithsonian's comprehensive fundraising campaign. The Libraries intend to 
focus efforts on established priorities: acquisitions, conservation, digitization, 
fellowships, and exhibitions. 



174 



OFFICE OF THE CHIEF INFORMATION OFFICER 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOV'T GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


96 


45,526 


17 


3,507 














FY 2012 
ESTIMATE 


91 


45,920 


18 


3,306 














FY 2013 
ESTIMATE 


93 


48,545 


18 


3,306 















STRATEGIC GOALS: BROADENING ACCESS AND MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


sooo 


Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 


7 


2,900 


9 


4,400 


2 


1,500 


Mission Enabling 














Information Technology 














Modernize the Institution's information technology 
systems and infrastructure 


84 


43,020 


84 


44,145 





1,125 


Total 


91 


45,920 


93 


48,545 


2 


2,625 



BACKGROUND AND CONTEXT 

The Office of the Chief Information Officer (OCIO) provides vision, 
leadership, policy, and oversight associated with managing and operating the 
information technology (IT) for the Institution's museums and research centers. 

For FY 2013, the budget estimate reflects a net increase of 2 FTEs and 
$2,625,000. This request includes: 

• $991 ,000 for communications increases that are justified in the Fixed 
Costs section of this budget submission 

• $1 ,500,000 and 2 FTEs in programmatic increases for Digitization 

• $1 34,000 increase for necessary pay for existing staff and other salary- 
related increases that are both justified in the Fixed Costs section of this 
budget submission 



175 



MEANS AND STRATEGY 

The OCIO will use best practices in the management and operations of 
information technology to enhance the "increase and diffusion of knowledge" and 
achieve the Institution's goals of Broadening Access and Mission Enabling. The 
following strategies are cross-cutting and central to the Smithsonian's mission of 
connecting Americans to their history and heritage, as well as to promoting 
innovation, research, and discovery in science: 

• Use state-of-the-art, secure information systems to modernize financial, human 
resources, facilities management, collections, education, and research 
processes 

• Replace network equipment, servers, desktop computers, and scientific 
workstations on an industry best practice life cycle to increase reliability and 
improve the security of information systems and the data that they contain 

• Leverage commercially available technology to enhance existing IT systems at 
the Smithsonian so that they will increase public access to and use of digital 
surrogates of collection objects and research data; and implement an 
Institution-wide Digitization Strategic Plan that addresses the creation, 
management, and use of these digital assets 

• Maintain the Institution's telecommunications infrastructure to provide reliable, 
secure, and cost-effective voice and data communications systems that support 
Smithsonian missions 

• Meet federal requirements for providing timely and accurate financial information 

• Improve the Institution's ability to integrate financial and performance 
management systems as part of the Enterprise Resource Planning (ERP) effort 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the OCIO budget estimate includes a total increase of 2 FTEs 
and $2,625,000. This includes $134,000 for necessary pay and other related salary 
costs for existing staff; 2 FTEs and $1 ,500,000 for programmatic increases for the 
Digitization program; and $991,000 for increased communications costs. The pay, 
other related salary costs, and communications increase requests are justified in 
the Fixed Costs section of this budget submission. 

The programmatic summary of 2 FTEs and $1 ,500,000 for the FY 201 3 
requested budget increase is described in greater detail below: 

• (+$500,000) — Digitization Program Office — the Digitization Program Office 
(DPO) leads the implementation of the first-ever Institution-wide digitization 
strategic plan. Increasing the quality and quantity of digital descriptions and 
surrogates advances each of the major goals of the overall Smithsonian 
Strategic Plan, in particular Broadening Access, Revitalizing Education, and 
Strengthening Collections. The increase provides resources to invest in the 

176 



continuing execution of the digitization strategy. In accordance with the 
strategy, the DPO will: a) increase its support for unit implementation of new 
Smithsonian digitization policy mandates (SD 610) by providing tools, 
training, and guidance; b) work with units to develop prototypes of rapid 
digitization workflows; and c) expand the gathering of data necessary for the 
creation of an operational plan for full-scale digitization of collections. 

In support of all Smithsonian units, the DPO currently nurtures the 3D 
Digitization Center of Excellence as a cost-conscious model for investing in 
cutting-edge expertise and expensive digitization equipment. The increase 
allows the Center to grow its capacity to turn three-dimensional objects into 
electronic images which directly support the work of educators, scientists, 
and curators, thereby granting them access to collections and tools to 
engage in active research. Additional hardware and software investments 
will ensure 3D applications can move from pilot to program and fill gaps in 
the patchwork of existing and expected industry donations. 

(+$250,000) — Housing the Digital Smithsonian, Storage and Backup — As 
the Smithsonian continues to build its digital Institution, OCIO must ensure 
that it offers enough storage and backup capacity to meet increasing 
demands. Centralized storage and backup solutions enable the sharing and 
exchange of digital assets both internally and with our constituents 
worldwide. Tools for increased capacity are increasingly driven by 
digitization and the larger share of research data that is born digital and that, 
once lost, cannot be reconstructed. External collaboration, education, and 
research through SharePoint software tools will also drive storage and 
backup needs. 

(+$155,000, +1 FTE) — Digitization Asset Management System (DAMS) — 
provides the Institution with a centrally supported solution for the storage, 
preservation, search, and re-use of its image, video, audio, and other digital 
assets. A standardized DAMS infrastructure is critical if the Smithsonian 
Institution is to use its digital holdings to meet its strategic goals, such as 
Broadening Access. Many of the Smithsonian's digital assets are 
inaccessible because they reside on locally held external hard drives and 
CDs and are in danger of being lost. During FYs 2010 and 201 1 , DAMS 
grew from supporting 1 1 units to 35 and added support for video. Units are 
beginning to ingest whole collections and staff is needed to support both the 
system and the unit projects. In approximately two years, the system 
licenses will need to be doubled in order to support newer, higher processor 
core servers. 

(+$140,000, +1 FTE) — Research and Scientific Data Repository — The 
OCIO Office of Research Information Services (ORIS) will assist units with 
managing their digital research information, from project inception to 
preservation and access of the data set by communities internally and 



177 



externally. These funds will be used to create a software environment that 
encompasses the complete life cycle of data management. This will be done 
by hiring staff to expand the pilot Trusted Digital Repository into a 
production system for the long-term preservation and access of the 
Institution's humanities and scientific research. ORIS is poised to fill this 
need by providing researchers with data management planning, 
preservation, and access and support services, in addition to supporting the 
Institution's strategic goals in education, research and Broadening Access. 

• (+$200,000) — SharePoint Collaboration and Forms — This increase is 
required to maintain the current service level agreements with units as 
usage continues to increase; to migrate to SharePoint 2010; to expand 
functionality built on the SharePoint platform to include MySite; and to 
implement project management on a common electronic platform. The 
requested increase will allow SharePoint to be used to its full potential, 
thereby enabling the Smithsonian to streamline processes and create a 
more productive work environment. 

• (+$1 00,000) — Web Analytics and Search Engine Optimization (SEO) — 
Web analytics and SEO software and services provide valuable information 
to Smithsonian webmasters to allow them to improve Web and new media 
experiences and better meet the needs of virtual visitors and participants. In 
addition, these services provide metrics to capture feedback on the 
Smithsonian's efforts to improve the quality and quantity of its Broadening 
Access initiatives through Web, new media, and mobile outreach. 

• (+$1 55,000) — Enterprise Digital Asset Network (EDAN) Support — The 
Smithsonian EDAN provides the Institution with a single point of access to 
data and associated images for all of its major collections. EDAN supports a 
reusable data and service infrastructure for search and retrieval of collection 
objects and digital assets, tagging of objects, Smithsonian creation of 
collection groups (e.g., a top 100), and end-user creation of personal 
collections (e.g., MyList). It also provides users a full-feature image delivery 
service with on-the-fly resizing and a zoom-in/out viewer. All of this is 
accessible for Smithsonian-developed Web and mobile applications. OCIO 
is constantly updating EDAN, working with Smithsonian units to add more 
collection objects, and developing enhanced Web and mobile features 
which empower Smithsonian units in their outreach projects and advance 
the Institution's goals. Programmer support is critical to the success of 
Institution-wide Web and mobile projects which use Smithsonian collections 
to advance the Broadening Access strategic goal. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries and 
benefits of personnel and other related costs of the OCIO. 



178 



ADMINISTRATION 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


183 


33,293 


157 


29,625 


14 


3,085 


2 


92 


FY 2012 
ESTIMATE 


182 


34,054 


166 


31,236 


10 


2,347 


2 


301 


FY 2013 
ESTIMATE 


185 


35,129 


173 


31,827 


11 


2,276 


2 


251 



STRATEGIC GOALS: EXCELLENT RESEARCH; BROADENING ACCESS; 
REVITALIZING EDUCATION; STRENGTHENING COLLECTIONS; AND 

MISSION ENABLING 

Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


sooo 


Excellent Research 














Research 














Engage in research and discovery 





20 





20 








Ensure the advancement of knowledge in the 
humanities 





22 





22 








Broadening Access 














Digitization and Web Support 














Provide improved digitization and Web support 





12 





12 








Public Programs 














Provide reference services and information 





124 





125 





1 


Exhibitions 














Offer compelling, first-class exhibitions 





44 





44 








Revitalizing Education 














Education 














Engage and inspire diverse audiences 


3 


240 


3 


241 





1 


Strengthening Collections 














Collections 














Improve the stewardship of the national collections 


2 


238 


2 


302 





64 


Mission Enabling 














Security and Safety 














Provide a safe and healthy environment 


2 


370 


2 


370 








Management Operations 














Strengthen an institutional culture that is customer 
centered and results oriented 


24 


4,071 


24 


4,157 





86 



179 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Ensure that the Smithsonian workforce is efficient, 
collaborative, committed, innovative, and diverse 


69 


13,024 


70 


13,454 


1 


430 


Modernize the Institution's financial management 
and accounting operations 


51 


10,277 


53 


10,747 


2 


470 


Modernize and streamline the Institution's 
acquisitions management operations 


31 


5,612 


31 


5,635 





23 


Total 


182 


34,054 


185 


35,129 


3 


1,075 



BACKGROUND AND CONTEXT 

The Smithsonian Institution Administration program provides vision, 
leadership, policy, and oversight associated with managing and operating the 
museums and research centers. Administration includes executive leadership 
provided by the offices of the Secretary, the Under Secretary for Science, the 
Under Secretary for History, Art, and Culture, the Under Secretary for Finance 
and Administration/Chief Financial Officer, the Assistant Secretary for Education 
and Access, and the Deputy Under Secretary for Collections and Interdisciplinary 
Support, as well as the central administrative activities of human resources, 
diversity, financial, and contract management, in addition to legal services. 

For FY 2013, the budget estimate reflects an increase of 3 FTEs and 
$1,075,000. This request includes: 

• $355,000 for necessary pay and other related salary costs for existing 
staff funded under this line item, which are justified in the Fixed Costs 
section 

• $72,000 for the annual audit of the Smithsonian's financial statements 
(+$36,000) and increased processing fees for the Smithsonian's payroll 
services (+$36,000), which are justified in the Fixed Costs section 

• -$235,000 decrease for Workers' Compensation, based on the bill for 
FY 2013 and justified in the Fixed Costs section 

• $883,000 and 3 FTEs in programmatic increases to provide additional 
supplier diversity support to units and to advocate for greater participation 
of small businesses in contracting; support critical requirements to 
strengthen internal controls, including improving cash management 
policies; and increase mandated supervisory training throughout the 
Institution. 

MEANS AND STRATEGY 

The Smithsonian will use best practices in management to enhance the 
"increase and diffusion of knowledge" and achieve the Institution's goals. The 
following strategies are cross-cutting and central to performing the Smithsonian's 



180 



mission of connecting Americans to their history and heritage, as well as to 
promote innovation, research, and discovery in science: 

• Support the Board of Regents and its committees 

• Develop and implement necessary internal controls as recommended by the 
Board of Regents' Governance Committee, which will involve strengthening 
personal property management inventory controls and meeting increased 
demands for acquisition of goods and services by realigning and augmenting 
resources 

• Provide high-quality leadership and oversight for all policies, programs, and 
activities of the Institution's museums and research centers by attracting, 
recruiting, and retaining leaders with superior talent 

• Provide oversight of the Smithsonian budget process as it is developed and 
executed to support the operating and capital programs of the Institution, 
establish and enforce budgetary policies and procedures, and ensure that 
resources support achievement of the Institution's goals and objectives 

• Provide high-quality legal counsel and advice to the Regents, the Secretary, 
Under Secretaries, advisory boards, unit directors, Smithsonian Enterprises, 
and the Woodrow Wilson International Center for Scholars 

• Provide leadership and guidance for Institution-wide collections initiatives, 
policies, and programs to improve the stewardship of Smithsonian collections 

• Manage human resources, foster diversity, and align human capital with the 
Institution's goals and performance objectives. Continue to conduct workforce 
and gap analyses, strengthen training policies, develop succession planning, 
and evaluate and improve assessment tools for human resources 
performance 

• Ensure the financial strength of the Institution and provide the Smithsonian 
with effective and efficient budgeting, financial, contracting, and management 
support services, including reliable financial reporting 

• Advance the Institution's mission in the most economic, efficient, and cost- 
effective way by supporting audit, evaluation, investigative, contracting, and 
other advisory services 

• Increase the Latino Center's public and educational outreach by: 1 ) 
developing exhibitions and correlative public and educational programs on 
Latino culture, art, and scientific achievement at the Smithsonian and 
affiliated institutions nationwide; 2) supporting Latino research, collections, 
exhibitions, and related projects at various Smithsonian museums and 
research centers; and 3) continuing innovation in new media, including the 
Latino Virtual Museum, social media, mobile applications, and other 
strategies which make full use of rapidly growing and accessible technologies 
and permit expanded delivery of programs and services to increasingly 
diverse audiences 

• Support the Institution's commitment to teaching Americans about their rich 
heritage by increasing the capacity of the Asian Pacific American Program 

181 



(APAP) to offer innovative online initiatives that provide educational, 
programmatic, and outreach materials nationwide 

• Work with the Secretary's executive diversity committee, Office of Human 
Resources, and Office of Equal Employment and Minority Affairs to ensure 
compliance with Federal Equal Employment Opportunity Commission 
mandates, promote the Smithsonian's Equal Employment Opportunity and 
workforce diversity policies, and advocate for the use of small and 
disadvantaged businesses throughout the Smithsonian Institution 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the Administration budget estimate includes an increase of 
3 FTEs and $1,075,000, which includes $355,000 for necessary pay and other 
related salary costs for existing staff funded under this line item; $36,000 for 
inflation costs for the annual audit of the Smithsonian's financial statements; 
$36,000 for increased processing fees for the Smithsonian's payroll services; and 
a decrease of -$235,000 for the Workers' Compensation bill for FY 2013. These 
amounts are justified in the Fixed Costs section of this budget submission. 

The programmatic summary of 3 FTEs and $883,000 for the FY 201 3 
requested budget increase is described in greater detail as follows: 

• (+$161,000, +1 FTE) This increase is requested to hire one supplier diversity 
program analyst to provide additional supplier diversity resources for the 
Smithsonian. The funds will enable the Office of Diversity Initiatives to provide 
additional supplier diversity support to units, increase outreach initiatives, 
create training and awareness materials, enhance small and minority-owned 
business matching, advocate for greater participation of small businesses in 
subcontracting plans on large-dollar contracts, conduct reviews of unit 
Supplier Diversity Program implementation, and recognize units for their 
Supplier Diversity Program achievements. 

• (+272,000, +2 FTEs) This increase for the Office of the Comptroller supports 
two GS-13 accountant positions to strengthen the Smithsonian's governance 
and financial internal controls. The first position is responsible for developing 
financial policies, procedures, and practices, and for evaluating the 
effectiveness of internal controls, including the monitoring of generally 
accepted accounting and financial management operations and formulating 
new policies and procedures as required. The second position will provide 
accounting advisory support to better manage accounting policies, 
procedures, and systems, and to provide proficient and authoritative finance 
support to the Smithsonian and all of its individual units. Additionally, this 
position will conduct vulnerability assessments of key cash processes and 
develop appropriate corrective actions to strengthen internal controls and 
improve financial management-related processes throughout the Institution. 



182 



• (+$450,000) This increase supports a comprehensive, centrally funded 
program that includes training in: leadership; recruitment and hiring; equal 
employment; leave and pay administration; labor and employee relations; 
staff motivation; performance evaluation; coaching; and mentoring. Initial and 
follow-up supervisor training is mandated by law and supervisory competency 
is an identified weakness throughout the Smithsonian Institution. The need for 
well-trained supervisors is critical to ensure maximum staff productivity and 
performance while complying with the myriad rules, regulations, and policies 
involved in employee supervision. By having a centralized training fund, the 
Institution will ensure compliance with federal regulations, increase employee 
engagement, and mitigate costs resulting from insufficiently trained 
supervisors and leaders. 

With the FY 2013 budget request, the Smithsonian will be able to 
improve its existing Supplier Diversity Program; strengthen critical financial 
internal controls with improved cash-management processes; and support a 
comprehensive, supervisory training program for office managers and senior 
leadership. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits of personnel and other related costs. General trust funds also are 
used to support administrative activities, information dissemination, outreach, 
publications, and fund raising. Donor/sponsor-designated funds provide support 
for costs related to programs and projects such as scientific research. For 
example, the Seward Johnson and Hunterdon endowment funds are used to 
improve basic support and strengthen important research efforts carried out at 
marine stations, and for pursuing scientific opportunities in oceanographic 
research. The Smithsonian received a $10 million grant from the Gates 
Foundation to identify areas that the Institution wishes to grow. Some of those 
funds have been applied to support the Grand Challenge "Understanding and 
Sustaining a Biodiverse Planet." One of the signature programs expected to 
emerge from that Grand Challenge, and being supported in part by the Gates 
Foundation funding, is an initiative to build a Smithsonian Marine Global Earth 
Observatory (GEO) network. The Gates Foundation grant has supported a series 
of planning workshops that have included partners throughout Government and 
universities. Preliminary projects have been funded to design these GEOs and to 
conduct some initial experiments to demonstrate the use and needs of such 
GEOs. 



183 



OFFICE OF THE INSPECTOR GENERAL 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


20 


2,602 


1 


251 














FY 2012 
ESTIMATE 


22 


2,645 





19 














FY 2013 
ESTIMATE 


23 


2,909 





19 















STRATEGIC GOAL: MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Mission Enabling 














Management Operations 














Strengthen an institutional culture that is customer centered and 
results oriented 


22 


2,645 


23 


2,909 


1 


264 


Total 


22 


2,645 


23 


2,909 


1 


264 



BACKGROUND AND CONTEXT 

The Inspector General Act requires the Office of the Inspector General (OIG) to 
conduct and supervise audits and investigations that are, in the judgment of the IG, 
necessary or desirable relating to programs and operations of the Institution. 

The OIG fulfills its mandate by conducting administrative and criminal 
investigations and engaging in audits and reviews of Smithsonian Institution operations 
and programs. The OIG's audits include annually required reports, such as the quality 
assurance review of the Institution's annual financial statement audits and Federal 
Information Security Management Act (FISMA) reviews. The OIG also conducts audits 
and reviews as listed in its annual Audit Plan. 

The FY 2013 budget request includes a net increase of $264,000, which includes 
$14,000 for necessary pay and other related salary costs for existing staff funded under 
this line item, and $250,000 to fund the salary, benefits, and support costs of the IG. 



The Inspector General Reform Act of 2008 requires that the budget request detail 
the amount of funds requested by the OIG for staff training and to support the Council of 
the Inspectors General on Integrity and Efficiency (CIGIE). The OIG has requested 
$40,000 for training, which is funded in the base resources. 

184 



MEANS AND STRATEGY 

The resources requested will be used to fund salaries, benefits, and support costs 
for staff engaged in audits, investigations, and other activities necessary to accomplish 
the OIG's mission. To balance its oversight responsibility with available resources, the 
OIG selects mission-critical areas for evaluation that: 

• figure prominently in the Smithsonian's Strategic Plan and annual performance 
plans and reports; 

• are the focus of congressional and executive branch attention; 

• have high public interest and/or large dollar outlays; or 

• have known performance and/or accountability risks 

The OIG's Audit Plan includes three mandatory sets of audits: (1 ) the annual 
audits of the Smithsonian's financial statements, which the OIG oversees; (2) the annual 
reviews under FISMA, which the OIG also oversees; and (3) an audit of the travel and 
other expenses of the Regents, conducted at their request to fulfill a statutory 
requirement. In addition, the plan includes audits of major contracts; collection practices 
of the museums to safeguard their assets from damage and loss; internal controls; 
management of institutional policies; and Smithsonian membership organizations. 

The investigative staff will continue to conduct administrative and criminal 
investigations, resolve complaints, and proactively engage the Institution's staff to detect 
and prevent waste, fraud, and abuse. 

In addition, the OIG will respond to requests for audits and reviews from the Board 
of Regents, the Secretary, and the Congress. The OIG will also continue to maintain a 
substantial inventory of areas identified as needing audit work. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget estimate includes a net increase of $264,000. This 
increase includes $14,000 for necessary pay and related salary costs for existing staff, 
and a programmatic increase of $250,000 and 1 FTE to fund the salaries, benefits, and 
support costs of the Inspector General, as follows: 

• The Institution requests $250,000 and 1 FTE to convert the Inspector 
General (IG) position to a federally funded job. The Board of Regents 
determined that the duties and responsibilities of the IG are primarily federal 
in nature and the position should therefore be funded with federal resources 
and be consistent with federal agencies. The Regents also concluded that 
the most robust and relevant candidate pool would be in the federal sector. 

NONAPPROPRIATED RESOURCES — General trust funds support the necessary 
expenses of the OIG's personnel and other related costs. 



185 



FACILITIES MAINTENANCE 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


357 


70,000 




















FY 2012 
ESTIMATE 


358 


70,690 




















FY 2013 
ESTIMATE 


359 


71,618 





















STRATEGIC GOAL: MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE $000 


Mission Enabling 














Facilities 














Implement an aggressive and professional 
maintenance program 


358 


70,690 


359 


71,618 


1 


928 


Total 


358 


70,690 


359 


71,618 


1 


928 



BACKGROUND AND CONTEXT 

The mission of the Office of Facilities Engineering and Operations (OFEO) 
is to provide world-class services and stewardship by building, operating, 
maintaining, and ensuring a safe, secure, and healthy environment to enhance 
the Smithsonian experience for all visitors. The Smithsonian receives more than 
29 million visits annually. 

OFEO is responsible for the maintenance and repair of an infrastructure of 
approximately 12 million square feet of owned and leased buildings and 
structures, including 19 museums and galleries, nine research centers, and the 
National Zoological Park (NZP). The buildings and structures range from the 
well-known museums to supporting structures such as guard booths, animal 
shelters, and hay barns. Facilities Maintenance focuses on facility preservation 
activities and encompasses the upkeep of property and equipment. This work is 
necessary to realize the originally anticipated useful life of facility assets. 

As new and renovated museums and major exhibitions open, 
maintenance requirements rise due to technological advances and an increase in 
the number of systems supporting the Smithsonian's infrastructure. For example, 

186 



the recent renovation of the Elephant House at NZP resulted in a 30 percent 
increase in the number of assets requiring maintenance in that facility. 

In an effort to stretch current resources, OFEO has undertaken a number of 
initiatives to gain efficiencies. OFEO benchmarked its maintenance staffing levels 
with other museums and professional organizations, including the Association of 
Higher Education Facilities Officers (APPA), to ensure that resources were being 
effectively deployed. The Smithsonian is a past recipient of the prestigious Award 
of Excellence from APPA in recognition of the Institution's excellence in facilities 
management and its efforts to establish measurable performance standards and 
staffing levels for maintenance and efficient operations. 

Ultimately, the Institution intends to achieve APPA's recommended level-1 
standard for building maintenance ("Showpiece Facility"). That requirement has 
been validated through the Facility Condition Assessment process and Reliability 
Centered Maintenance (RCM) analysis. With existing resources, the Smithsonian 
operates at APPA maintenance level 3, "Managed Care," which provides an 
acceptable level of preventive maintenance and building system reliability to 
ensure proper conditions are maintained for collections and public expectations 
are met. 

For FY 2013, the budget estimate includes an increase of 1 FTE and 
$928,000. The increase includes $278,000 for necessary pay and other related 
salary costs for existing staff funded under this line item. The request also 
includes a programmatic increase of 1 FTE and $650,000 to support electronic 
security and continue stabilizing and standardizing the overall condition of the 
Institution's facilities. 

MEANS AND STRATEGY 

To support the Institution's goal of Mission Enabling, OFEO continues an 
aggressive, long-range facilities maintenance and minor repair program, using an 
RCM approach that includes benchmarking efforts with organizations such as the 
APPA. The RCM approach is a widely accepted maintenance industry 
philosophy that incorporates a cost-effective mix of predictive, proactive, 
preventive, and reactive maintenance practices. 

The Smithsonian's goal is to reduce its backlog through the coordinated 
efforts and appropriate funding of its maintenance and capital programs. 
Sufficient funding prevents the accelerated degradation of building systems and 
components that would increase the number and cost of major repairs. Through 
increased preventive maintenance and by addressing deficiencies in a timely 
manner, the Institution would be able to realize the originally anticipated useful 
life of facilities and avoid the accelerated degradation of its infrastructure, and the 
associated costs, mentioned above. 



187 



During FY 2013, the Institution will identify efficiencies in managing its 
existing resources to improve its current level of service. Additionally, OFEO will 
continue to improve the electronic security systems and physical security 
measures which provide protection for the Institution's facilities, collections, staff, 
visitors, and volunteers. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget request includes an increase of 1 FTE and 
$928,000. The increase includes $278,000 for necessary pay and other related 
salary costs for existing staff funded under this line item. The request also 
includes a programmatic increase of 1 FTE and $650,000 to enable the 
maintenance program to continue stabilizing and standardizing the overall 
condition of Smithsonian facilities. This funding is critical to provide the 
maintenance required to keep facility systems performing in accordance with 
their mandated design criteria. 

• The request includes an increase of 1 FTE and $400,000 for electronic 
security maintenance to support one WG-1 1 alarm technician ($84,000) 
and contract services ($316,000). The increase will improve the reliability 
of critical security systems, including electronic security equipment 
(intrusion detection, access control, closed-circuit television); life-safety 
intercom systems; screening equipment (x-ray and magnetometer); radio 
systems; perimeter barrier equipment; and locksmith services. These 
resources will enable OFEO to proactively detect and replace failing or old 
equipment, and react more quickly to emergencies. 

• The request also includes a $250,000 increase to support collection 
storage maintenance. Dedicated collection storage areas require well- 
regulated environmental conditions. This increase will support the needs 
of the Smithsonian's national collections, which require stable and specific 
environments. 

The requested funds are critical to provide the maintenance coverage 
required to keep facility systems fully functioning. Through diligent maintenance 
of the facilities and systems, the Smithsonian can prolong the operational life of 
the equipment while maintaining reliable output to protect the national collections. 
Additionally, proper maintenance reduces the potential for unplanned equipment 
shutdowns which could have a severe negative impact on visitors, staff, and 
collections. 



188 



FACILITIES OPERATIONS, SECURITY, AND SUPPORT 





APPLICATION OF OPERATING RESOURCES 


FEDERAL 
APPROPRIATIONS 


GENERAL 
TRUST 


DONOR/SPONSOR- 
DESIGNATED 


GOVT GRANTS 
& CONTRACTS 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FTE 


$000 


FY 2011 
ESTIMATE 


1,386 


192,916 


13 


2,046 


4 


271 








FY 2012 
ESTIMATE 


1,392 


193,685 


13 


2,628 


4 


275 








FY 2013 
ESTIMATE 


1,393 


195,655 


13 


2,700 


4 


280 









STRATEGIC GOALS: BROADENING ACCESS AND MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Cr 


lange 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Broadening Access 














Exhibitions 














Offer compelling, first-class exhibitions 


4 


460 


4 


470 





10 


Mission Enabling 














Facilities 














Improve the overall cleanliness and 
efficient operation of Smithsonian facilities 


648 


125,145 


649 


126,205 


1 


1,060 


Security and Safety 














Provide world-class protection for 
Smithsonian facilities, collections, staff, 
visitors, and volunteers 


700 


61,710 


700 


62,400 





690 


Provide a safe and healthy environment 


40 


6,370 


40 


6,580 





210 


Total 


1,392 


193,685 


1,393 


195,655 


1 


1,970 



BACKGROUND AND CONTEXT 

The mission of the Office of Facilities Engineering and Operations (OFEO) 
is to provide world-class services and stewardship by building, operating, 
maintaining, and ensuring a safe, secure, and healthy environment to enhance 
the Smithsonian experience for all visitors. The Smithsonian receives more than 
29 million visits annually. 

The Facilities Operations, Security, and Support (OSS) program within 
OFEO operates, secures, and supports the Smithsonian's physical infrastructure 
in partnership with Smithsonian program staff. OFEO provides operational 
security and support services for approximately 12 million square feet of owned 



189 



and leased facilities, including 19 museums and galleries, nine research centers, 
and the National Zoological Park. 

Resources within OSS support facilities operations, including activities 
such as custodial work; fire protection; building system operations; grounds care 
and landscaping; snow removal; pest control; refuse collection and disposal; fleet 
operations and maintenance; security services; and safety, environmental, and 
health services. Resources also support facilities planning, architectural and 
engineering design plans, as well as postage, utilities, and central rent costs. 

For FY 2013, the budget estimate includes an increase of 1 FTE and 
$1,970,000. The increase includes $500,000 for necessary pay and other related 
salary costs for existing staff funded under this line item; and for utilities, postage, 
and rent, which are justified in the Fixed Costs section of this budget. The 
request also includes programmatic increases of 1 FTE and $1 ,470,000 for fleet 
management (1 FTE and $750,000); security background investigations 
($440,000); safety programs ($180,000); and support for establishment of a 
facilities' Requirements Branch ($100,000). 

MEANS AND STRATEGY 

OFEO will achieve the Institution's goal of Broadening Access by 
continuing to develop exhibits and public programs for horticulture, architectural 
history, and historic preservation. 

To achieve the Institution's goal of Mission Enabling, OFEO's base 
resources will focus on meeting the growing operational requirements of the 
Institution's facilities. OFEO will continue its efforts to efficiently use its resources 
to operate and secure facilities and grounds, and to provide safe, attractive, and 
appealing spaces to meet program needs and public expectations. In addition, 
OFEO will continue benchmarking the Institution's custodial staffing and service 
levels with other museums and professional organizations, including the 
Association of Higher Education Facilities Officers (APPA). As a past recipient of 
the prestigious APPA Award of Excellence, OFEO is committed to measuring 
performance and staffing levels to ensure that the highest affordable levels of 
appearance and cleanliness, as well as efficient operations, are maintained. 

The Institution is committed to achieving APPA's appearance level 2, 
referred to as "Ordinary Tidiness." This level of appearance will provide an 
acceptable level of cleanliness that meets public expectations. With current 
resources, OFEO achieves appearance level 3, "Casual Inattention." While this 
level of appearance is not totally acceptable, it ensures a generally clean and 
odorless environment. 

Just as OFEO is committed to providing the highest levels of facility care, 
its Office of Protection Services (OPS) is equally committed to providing the 



190 



highest levels of security. OPS will continue to provide protection for the 
Smithsonian's facilities, collections, staff, visitors, and volunteers, while also 
permitting an appropriate level of access to the national collections. The 
Institution will continue to focus on security measures required to address any 
elevated risks identified. 

OFEO continues its commitment to ensure that Smithsonian employees 
have a safer and healthier workplace by creating a culture that embraces and 
promotes zero injuries; provides professional services promoting a culture of 
health and wellness; and ensures that all Smithsonian facilities comply with 
environmental regulations and best practices. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

For FY 2013, the budget estimate includes an increase of 1 FTE and 
$1,970,000. The increase includes $500,000 for necessary pay and other related 
salary costs for existing staff funded under this line item; and for utilities, postage, 
and rent. The request also includes a programmatic increase of 1 FTE and 
$1,470,000 to address high-priority operating, safety, and security requirements. 

• Fleet Management Program (+$750,000, +1 FTE) — The goal of the 
Fleet Management Program is to purchase, operate, and dispose of 
vehicle and marine fleet assets at optimal times — when the total cost of 
ownership is at its lowest. When fully funded, the program will optimize 
fleet size, minimize maintenance and fuel costs, and reduce fleet carbon 
emissions through the acquisition of fuel-efficient motor vehicles, boats, 
and electric carts. In addition, the program will reduce repair costs and the 
amount of time that assets are out of service. At present, the marine fleet 
(boats) represents the most pressing fleet need. The most recent 
condition survey revealed that most of the assets are in a state of disrepair 
and need critical upgrades and/or replacement. The Institution requests 
$750,000 to support one GS-1 1 marine equipment specialist ($95,000) 
and partial funding to initiate a fleet management/replacement program 
($655,000). The program will be life-cycle based, considering the cost of 
acquisition, fuel, maintenance, repair, disposal, administration, accidents, 
inventory, and downtime. 

• Requirements Branch (+$100,000) — To ensure that all facilities 
projects, including maintenance and capital, are properly coordinated, the 
Institution requests $100,000 to establish a Requirements Branch within 
OFEO. This branch will take a cross-functional approach to identify, 
summarize, prioritize, and bundle facilities requirements to most efficiently 
use and balance existing maintenance and capital resources. OFEO will 
facilitate the work of this branch by improving its systems to create a 
central repository for all requirements. The request will fund information 



191 



technology support services, including development of software and 
reporting capabilities, as well as training and ongoing branch operations. 

• Background Investigations (+$440,000) — The Office of Personnel 
Management increased the requirements for background investigations in 
November 2008. The requested funds will support the Smithsonian's 
investigation needs and ensure a more thorough background check of all 
employees. This increase will also enable the Smithsonian to reduce 
security risks to staff, visitors, facilities, and collections. 

• Culture of Safety Program (+$180,000) — The Smithsonian is 
committed to providing a safe and healthy environment in all of its 
facilities. OFEO will achieve this objective by developing an Institution- 
wide culture that embraces and promotes a safe and healthful workplace. 
To reverse the recent trend of rising incidents and work time lost due to 
injuries and illnesses, the Smithsonian will implement a program to 
educate all staff on how to recognize and reduce potential hazards, and 
implement intervention methods to enhance the Culture of Safety within 
the Institution. The Smithsonian requests $180,000 to support this 
initiative. The funds will be used to implement the program in two or three 
facilities the first year. The results will be evaluated to determine the best 
next steps for implementation at other facilities. The Institution expects to 
reduce injuries and illnesses to its workers, volunteers, and visitors; limit 
work time lost due to injury; and reduce workers' compensation claims and 
costs. 

NONAPPROPRIATED RESOURCES — General trust funds support salaries 
and benefits, and other related costs. Donor/sponsor-designated funds cover 
costs related to Smithsonian programs, such as horticulture operations, and 
architectural history and historic preservation projects. 



192 



FACILITIES CAPITAL 



FY 201 1 Appropriation 


$124,750,000 


FY 2012 Appropriation 


$174,720,000 


FY 2013 Estimate 


$196,500,000 



STRATEGIC GOAL: MISSION ENABLING 
Federal Resource Summary by Performance Objective and Program Category 



Performance Objective/ 
Program Category 


FY 2012 


FY 2013 


Change 


FTE 


$000 


FTE 


$000 


FTE 


$000 


Mission Enabling 














Facilities 














Execute an aggressive, long-range 
revitalization program and limited 
construction of new facilities 


48 


77,970 


48 


72,140 





-5,830 


Security and Safety 














Provide world-class protection for 
Smithsonian facilities, collections, staff, 
visitors, and volunteers 





3,650 





5,400 





1,750 


Provide a safe and healthy environment 





18,220 





17,460 





-760 


Subtotal 


48 


99,840 


48 


95,000 





-4,840 


National Museum of African American 
History and Culture 





74,880 





85,000 





10,120 


Earthquake Emergency Repairs 











16,500 





16,500 


Total 


48 


174,720 


48 


196,500 





21,780 



BACKGROUND AND CONTEXT 

The Facilities Capital Program underpins the Smithsonian's mission and 
represents a vital investment in the long-term interest of the nation. It is intended 
to provide modern facilities that satisfy public programming needs and facilitate 
world-renowned research efforts. 

In the Facilities Capital Program, revitalization involves making major repairs 
or replacing declining or failed infrastructure to address the problems of advanced 
deterioration. Once completed, these projects will enable the Smithsonian to avoid 
the failures in building systems that can create hazardous conditions for visitors and 
staff, harm animals, damage collections, and cause the loss of precious scientific 
data. Fulfilling the Smithsonian's mission also requires construction of the National 
Museum of African American History and Culture (NMAAHC). 



Funding for facilities routine maintenance and minor repairs is included in 
the Institution's Salaries and Expenses request. These resources are critical to 



193 



realize the intended design life and full economic value of Smithsonian facilities 
and to protect the Institution's investment in revitalization. Underfunding 
maintenance devalues the Institution's capital investment by prematurely shifting 
increased costs to the Facilities Capital Program. 

The Institution plans to use these resources to provide for safe, code- 
compliant, and functional facilities that support Smithsonian programs. Sustained 
future funding to meet these requirements is essential to sustain the viability of 
the Institution's physical plant. 

FY 2013 REQUEST — EXPLANATION OF CHANGE 

The Institution requests $196,500,000 and 48 FTEs for the Facilities 
Capital Program in FY 2013. The Institution is requesting $85 million for the 
National Museum of African American History and Culture (NMAAHC), 
$95 million for revitalization and planning and design of future projects, and 
$16.5 million to fund emergency repairs related to the August 201 1 earthquake 
that caused severe damage to several Smithsonian buildings. Major renovation 
efforts will continue at the National Zoological Park (NZP), which will be guided 
by the master plan to correct the conditions there. This request also recognizes 
the need to sustain progress in other priority areas, which include revitalizing the 
National Museum of Natural History (NMNH) and the National Museum of 
American History (NMAH). This request also provides funding to renovate the 
Mathias Laboratory at the Smithsonian Environmental Research Center (SERC) 
in Edgewater, Maryland, and complete work on the Smithsonian Tropical 
Research Institute's (STRI) Gamboa Laboratory in Panama. Other priorities 
include funding to finish renovating the Cooper-Hewitt, National Design 
Museum's (CHNDM) Carnegie Mansion, improving collections storage at 
Suitland, Maryland, and addressing various safety and security deficiencies 
throughout the Institution. 



194 



The chart that follows summarizes the Institution's full request for the highest 
priority FY 2013 projects and the related future program funding requirements 
through FY 2017. 



SMITHSONIAN INSTITUTION 
Federal Facilities Capital Program Summary 

FY 2011 -FY 2017 


CATEGORY 

$Millions 


Received 


Received 


Congress 
Request 


Trust- 
Estimate 


Trust- 
Future Program Estimates Estimate 


FY2011 


FY 2012 


FY 2013 


FY2014 


FY 2015 


FY 2016 


FY2017 


FY2014-16 


REVITALIZATION 
Major Projects 

Arts & Industries Building 


















TBD 


Cooper-Hewitt, National Design Museum 


8.9 


7.0 


1.4 


5.4 












Hirshhom Museum and Sculpture Garden 








5.0 




9.0 


57 


7.0 




Museum Support Center 


1.3 








5.0 


8.0 


5.0 


10 




National Air and Space Museum 




0.7 








14.0 


14.0 


22.0 




National Museum of American History- Behring Center 


18.0 


11.0 


11.0 




29.8 




5.0 




6.0 


National Museum of Natural History 


15.4 


10.2 


8.8 




20.8 


15.0 


15.0 


14.5 




National Zoological Park 


11.7 


17.0 


17.7 


2.8 


12.5 


13.9 


14.4 


18.3 


14.5 


Quadrangle 
















4.0 




Renwick Gallery 










7.5 


7.5 






15.0 


SERC, Mathias Lab & Contees Wharf Road 


11.3 


15.2 


15.1 




5.3 








7.5 


Smithsonian Castle 












13.1 


13.4 


13.5 




STRI 


4.0 


4.0 


7.0 














Suitland Collection Facility 






4.0 














Udvar-Hazy Center 














7.5 


7.5 




Other Revitalization Projects 


21.5 


19.6 


19.1 


2.0 


39.2 


43.3 


38.5 


27.9 


2.0 


Facilities Planning and Design 


12.8 


15.1 


10.9 




28.1 


22.5 


27.3 


24.3 




Anti-Terrorism Protection 










1.8 


3.7 


4.2 


1.0 




SUBTOTAL 


104.9 


99.8 


95.0 


15.2 


150.0 


150.0 


150.0 


150.0 


45.0 


CONSTRUCTION 




















National Museum of African American History and Culture 


20.0 


74 9 


85.0 


82.0 


50.1 








105.0 


SUBTOTAL 


20.0 


74.9 


85.0 


82.0 


50.1 


0.0 


0.0 


0.0 


105.0 


EARTHQUAKE EMERGENCY REPAIRS 




















Museum Support Center and National Air and Space Museum 






16.5 














TOTAL PROGRAM 


124.9 


174.7 


196.5 




200.1 


150.0 


150.0 


150.0 





* Trustfunding is mostly programmatic 



195 



The following chart divides the Institution's Major Revitalization projects into 
three priority groups: Critical Multi-year Projects (currently ongoing); Priority One New 
Starts; and Priority Two New Starts. All planned projects that are funded in this budget 
are either priority 1 or priority 2 rated in accordance with the criteria below. 

• Priority 1 — Emergency work required to avoid catastrophic failure or high risk to 
life and/or safety; failure to complete on schedule will cause immediate, irreversible 
damage to collections or facility; or work is coordinated with an urgent 
programmatic priority that must take place concurrently. 

• Priority 2 — Emergency work within 1-2 years due to imminent failure and code- 
compliance requirements; failure to fund as planned will cause damage to 
collections or facility; or, work is coordinated with a concurrent programmatic priority, 
such as replacement of a permanent exhibit, that must occur within 1-2 years. 

• Priority 3 — Predicted failure and mission viability requirements; currently 
moderate risk but likely to become emergency requirement in 3-4 years. 

• Priority 4 — Moderate risk; requirements critical in 5-6 years. 



FY 2013 MAJOR REVITALIZATION PROJECTS 


Location 


Category 


Priority 


Project Description 


Amount 


Critical Multi-year Projects and Emergency Repairs 


CHM 


MR 


2 


Stabilize Mansion Fence 


1,400 


NMAH 


MR 


2 


Renew West Wing (PSRP III) 


11,000 


NZP 


MR 


1 


Repair Structural/FP Systems GSB (incl. retaining wall) 


10,300 


NZP 


MR 


1 


Fire Protection: Smoke Evacuation from Animal Buildings 


750 


NZPFR 


MR 


1 


Upgrade Post Area Utilities Phase 2: water, sewer, SWM, electric 


3,500 


SERC 


MR 


2 


Mathias Lab Renovation/Trailer Replacement 


15,110 


STRI 


MR 


1 


Replace Gamboa Laboratory Facilities 


7,000 


MSC 


MR 


1 


Earthquake Structural Repairs and Seismic Upgrades to Pods 1, 2, 4 


11,250 


NASM 


MR 


1 


Earthquake Repairs — Restore Leaking Exterior Envelope 


5,250 




Priority One New Starts 


NZP 


MR 


1 


Repair structure at Upper Bear cantilever walkway 


400 


NZP 


MR 


1 


Repair containment, pools, life support, animal and keeper areas 


300 


NZPFR 


MR 


1 


Fire Protection: Vet Hospital, SAF and Auditorium 


1,000 


SCF 


MR 


1 


Collections Storage: Construct Swing Space Bldg 21 & 27 


4,000 




Priority Two New Starts 


NMNH 


MR 


2 


Renovate EW Basement/Ground Floor, Phase I 


3,900 


NMNH 


MR 


2 


Renovate SE Main Ground Floor/Mezzanine 


2,900 


NMNH 


MR 


2 


Renovate Main Building Windows/Entrances 


1,000 


NMNH 


MR 


2 


Renovate HVAC Central Plant (Chiller Option 1 ) 


1,000 


NZP 


MR 


2 


Renew Bison/Takin Yard Infrastructure, Holding and Containment 


500 


NZPFR 


MR 


2 


Construct OPS Security and Police Station, SCBI 


1,000 



Note: The FY 2013 total revitalization requested, including other projects and planning and design, 
is $1 1 1 .5 million compared to the GAO-validated annual requirement of $1 50 million. 



196 



SUMMARY TABLES 

REVITALIZATION 

Major Projects 

Investment in major projects provides for the replacement of failing or failed 
major building systems and equipment, and for major renovation projects to 
preserve the buildings. It primarily includes the exterior envelope, HVAC, electrical, 
and other utility systems at the older buildings. Projects also entail modifications to 
ensure compliance with life-safety and Americans with Disabilities Act (ADA) codes, 
restoration of historic features, and modernization of the buildings to support current 
program requirements. Major projects are those that cost more than $5 million. 



Facility 


Project 


$000 


Cooper-Hewitt, National Design 
Museum 


Carnegie Mansion Renovation 


1.400 


National Museum of American History 


West Wing Renovation 


11,000 


National Museum of Natural History 


Revitalize Public and Non-Public Space 


8,800 


National Zoological Park 


Rebuild North Retaining Wall (GSB) 

Upgrade Fire Suppression, Life-Safety, 
and Infrastructure Systems 

Construct Police Station (SCBI) 


10.300 
6,450 

1.000 


SI Environmental Research Center 


Renovate Mathias Lab/Replace Trailers 


15.110 


Suitland Collections Facility 


Construct Collections Storage Swing 
Space 


4.000 


SI Tropical Research Institute 


Replace Gamboa Laboratory Facilities 
and Upgrade Utility Infrastructure 


7,000 


TOTAL MAJOR PROJECTS 


$65,060 



197 



Other Revitalization Projects 

These projects correct extensive and serious facilities deficiencies to materially 
extend the service life of systems. Unlike the major projects, these are smaller in 
scale, costing $5 million or less, and usually involve capital repair or replacement of 
individual systems or components. 



Facility 


Project 


$000 


Cooper-Hewitt, National Design 
Museum 


Modernize Electronic Security 


2,000 


Cooper-Hewitt, National Design 
Museum 


Blast Mitigation 


1,000 


National Museum of American History 


Replace Switchgear 


900 


National Zoological Park 


Upgrade Perimeter Gates/Controls 


1,100 


Quadrangle 


Repair Leaks and Replace Snow Melt 


850 


Multiple Locations 


Construction Supervision Administration 
Misc. projects $500,000 and under 


5,750 
7,490 


TOTAL OTHER PROJECTS 


$19,090 


FACILITIES PLANNING AND DESIGN 


$10,850 


EMERGENCY PROJECTS: Earthquake Repairs 


$16,500 




TOTAL REVITALIZATION 


$111,500 


New Facilities Design/Construction 


Facility 


Project 


$000 


National Museum of African 
American History and Culture 


Construct Museum 


85,000 




TOTAL NEW FACILITIES 


$85,000 


TOTAL REQUEST 


$196,500 









198 



REVITALIZATION PROJECTS 

Major Projects: 

PROJECT TITLE: Renovate Carnegie Mansion 

INSTALLATION: Cooper-Hewitt, National Design Museum (CHNDM) 

LOCATION: Manhattan, New York 

FY 2013 COST ESTIMATE (Thousands of Dollars): $1,400 

PRIOR-YEAR FUNDING : $15,839 

Total $17,239 

BUILDING BACKGROUND: 

The 64-room Carnegie Mansion, designed by the architectural firm of Babb. Cook 
& Willard, was built between 1899 and 1902. It was the first private residence in the 
United States to have a structural steel frame and one of the first in New York to have a 
residential Otis passenger elevator (now in the collection of the Smithsonian's National 
Museum of American History). The Mansion was transferred to the Smithsonian in 1972 
and the Museum opened there in 1976. 

PROJECT JUSTIFICATION: 

The Mansion requires interior and exterior renovation work. On the interior, the 
electrical distribution system and emergency systems (i.e., fire alarm, sprinkler, and 
emergency egress) are in poor condition and do not meet current code requirements. 
The lighting system dates from the 1970s and does not meet the needs of a modern 
museum. These upgrades have been planned to coincide with a Museum-funded 
project to expand exhibition spaces. Many areas of the Museum have asbestos- 
containing materials (ACMs), as documented in a 1992 study, which will be disturbed 
during the project and will require ACM abatement. Non-federal sources will provide 
more than 60 percent of the funding for this project. 

PROJECT DESCRIPTION: 

Renovation of the Mansion infrastructure will include replacement of the electrical 
distribution system, an upgrade of the lighting system, abatement of asbestos/lead in 
areas affected by the renovation, upgrades to the fire alarm and sprinkler systems, 
security system enhancements, replacement of the building's main elevator, and 
modifications to emergency egress. These efforts will benefit from and be coordinated 
with a Museum-funded project to add gallery space on the third floor, relocate the 
Museum's Registrar and a ground-floor conservation laboratory, and restore historic 
finishes. Combining the renovation work with the expansion project will allow the project 
to be performed economically, with minimal additional impact to Museum operations. 
The Institution requests $1 .4 million in federal support in FY 201 3 to complete the 
exterior portion of the Mansion renovation. 



199 



PROGRESS TO DATE: 

Design of the Mansion renovation project was completed in April 201 1 . A 
construction contract was awarded on September 29, 201 1, with physical work to begin 
in January 2012. Renovation of the adjacent Miller-Fox House is complete and an 
official re-opening ceremony was held on December 7, 201 1 . 

IMPACT OF DELAY: 

The Mansion renovation will benefit from efficiencies related to completing this 
infrastructure work concurrently with the exhibit expansion project planned by the 
Museum. Aside from the cost savings to be realized by combining the projects, the 
Museum's electric, fire alarm, and sprinkler systems are not in compliance with current 
code requirements. A delay in completing this project will increase the risk of one or 
more system failures. 



200 



PROJECT TITLE: Revitalize NMAH West Wing Public Space (Package III) 
INSTALLATION: National Museum of American History (NMAH) 
LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars): $11,000 

PRIOR-YEAR FUNDING : $21,982 

FUTURE-YEAR FUNDING: $29,800 

Total $62,782 

PROJECT JUSTIFICATION: 

This project continues the National Museum of American History (NMAH), 
Kenneth E. Behring Center, modernization. All three public floors of the Museum's 
West Wing, comprising approximately 1 1 9,000 square feet, are part of this major 
renewal, which redefines the visitors' experience, and modernizes and clarifies 
circulation. The Museum's West Wing renovation, which is the next step outlined in the 
NMAH Master Plan of February 2006, is guided by the report of the Blue Ribbon 
Commission on the National Museum of American History, dated March 2002. 

PROJECT DESCRIPTION : 

The scope of work for this project includes replacement of two zones of the 
HVAC system, the power-distribution system, fire-detection and alarm systems, life- 
safety egress, and fire protection. In addition, the modernization will provide new exhibit 
space for exhibitions such as Sports and Entertainment, Music and Popular Culture, 
American Presidency, and First Ladies. The Institution requests $1 1 million in FY 2013 
to continue construction. 

PROGRESS TO DATE : 

The Smithsonian selected a design firm in July 2009. The design advanced to the 
35 percent milestone in 2010 and the 65 percent design development phase in April 201 1 
The 100 percent construction documents were completed in November 2011. The initial 
construction award will be made during the fourth quarter of FY 2012, with the FY 2013 
funding to be added to the award when the funds are available. 

IMPACT OF DELAY : 

Delays to the West Wing renovation increase the risk of mechanical systems 
failures and delay improvements needed to meet current fire-protection coverage and 
safety standards. The planned renovation will help minimize threats to the safety of the 
Museum's collections, visitors, and staff. Existing equipment and systems are at the end 
of their useful lives and will begin to fail at increasing rates, demand increasing 
maintenance staff time, and be more expensive to replace if this project is delayed. 

In addition, a delay of the West Wing renovation could result in a breach of 
agreements with several major donors. This could put anticipated pledge payments at 
risk. 



• 201 



PROJECT TITLE: Revitalize Public and Non-Public Space 
INSTALLATION: National Museum of Natural History (NMNH) 
LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars): 

Continue HVAC/Utility System Replacement and $8,800 

Building Renovation 

PRIOR-YEAR FUNDING: $246,954 

FUTURE-YEAR FUNDING: 

Ongoing HVAC Replacement and Code Improvements $ 115,500* 

Total $371,254 

* Does not include funding in Planning and Design account to complete future design of revitalization project. 
BUILDING BACKGROUND: 



The NMNH building opened to the public in 1910. The East and West Wings 
were added in the early 1960s. Two infill buildings were constructed in the original 
building's East and West courtyards in the late 1990s. The gross interior square footage 
of the building is approximately 1.5 million square feet. The building includes 300,000 
square feet of public museum space, with collections, laboratory, office, and building 
services spaces filling the remainder. NMNH is one of the most visited museums in the 
world and typically hosts nearly seven million visitors annually. 

PROJECT JUSTIFICATION: 

The building's mechanical and electrical systems were installed in the early 
1960s. At 50 years of age, they are in need of major replacement. Breakdowns of the 
mechanical systems are frequent, repair parts are often difficult to procure, and the 
system does not provide the environmental air quality necessary for visitors or 
collections. The reliability of the electrical system is compromised by the deteriorated 
condition of the building's three main electrical switchgears, and the antiquated 
distribution system poses a safety hazard. In addition, main stairwells and auditorium 
exit corridors are dark, violating building codes, and are insufficiently served by smoke- 
evacuation fans. Many of the building elevators constantly break down, occasionally 
trapping staff and visitors. Asbestos-laden pipes in the utility tunnels are a potential 
health hazard and hamper proper maintenance and response to utility failures. The 
windows in the original portion of the building are deteriorated and do not comply with 
current security standards. 

PROJECT DESCRIPTION: 



Based on the master implementation plan completed in 1987, and revised in 
2006, the Institution is slowly completing a comprehensive renovation program in the 
NMNH building, which will replace the HVAC equipment, ductwork, electrical equipment 
and wiring, piping systems, and windows of the main building. Asbestos and lead will be 
abated or encapsulated; the fire-protection, communications, alarm, and emergency 
power systems will be upgraded; and storm-water systems and a hazardous-chemical 
control facility will be installed. 

202 



The Institution requests $8.8 million in FY 2013 to continue the renovation. 
Specific work will include: continuing replacement of the main building windows 
($1.0 million); continuation of H VAC renovations in the southeast section of the main 
building's ground floor and mezzanine ($2.9 million); the start of renovations in the East 
Wing basement and ground floor ($3.9 million); and completion of the renovation of the 
central HVAC chiller ($1.0 million). 

PROGRESS TO DATE: 

Recent progress includes HVAC renovations of the East Court basement, 
ground, and first floor, as well as replacement of the emergency generator, renovation 
of six public elevators, and the installation of perimeter security on the south and west 
sides of the building. Construction work is drawing to a close on the HVAC renovation of 
the ground and first floor of the West Wing, renovations to the Court Air Towers (Air 
Towers Phase II), and modernization of electronic security throughout the building. 
During FY 201 1 , work began on replacement of the doors in the North Lobby and 
renovation of the HVAC system in the main building's northeast and northwest ground 
floor. This latter project includes replacement of 22 ground-floor monumental windows. 
Design work was completed for the West Wing second floor and Exhibition Hall 26, and 
construction contracts were awarded. Additionally, a feasibility report was completed for 
Halls 2-6 (Dinosaur exhibit halls), and an initial study on fall protection was undertaken. 
Design work started on the next major project, HVAC renovation of the main building's 
southeast ground floor. The updated space and master plans are complete and will form 
the basis for sequencing future infrastructure renovations. 

IMPACT OF DELAY: 

If funding is delayed, building systems will continue to deteriorate and 
environmental conditions required for the Museum's collections and the visiting public 
cannot be maintained. In addition, the Museum's exhibit re-installation program would 
not proceed according to the planned schedule, causing the continued closure of 
several important exhibition areas to the public. 



203 



PROJECT TITLE: Repair Structural Systems and North Road Retaining Wall, 

General Services Building (GSB) 
INSTALLATION: National Zoological Park (NZP), Rock Creek Park 
LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars): $10,300 

PRIOR-YEAR CONSTRUCTION FUNDING : $7,457 

(Design funding not shown) 

FUTURE CONSTRUCTION FUNDING: $13,200 

Total $30,957 

PROJECT JUSTIFICATION: 

The General Services Building (GSB) houses numerous critical functions at the 
NZP, including the animal nutrition commissary, maintenance and repair shops, and 
offices for safety, horticulture, exhibits, project management, engineering design and 
space for construction staff, as well as parking for staff and visitors. Recent studies 
identified critical structural deficiencies that are responsible for cracks in the foundation 
walls that are allowing water into the commissary, which was cited by the USDA in 
November 2005 as a deficiency requiring immediate attention. If the structural 
deficiencies are not repaired, they will cause structural failure and localized collapse. 

PROJECT DESCRIPTION: 



This project will strengthen and repair structural deficiencies (e.g., cracked 
concrete, deteriorated steel reinforcement and degraded tie-back tension rods) in the 
GSB and in the retaining wall that supports the North Road, the major public and private 
route through the Zoo. These extremely complex and disruptive repairs include the 
installation of structural shear walls and mezzanines for lateral stability, reinforcement of 
columns, underpinning of a portion of the foundation wall, and waterproofing. In order to 
accomplish this, the GSB functions and occupants must be relocated during the course 
of a phased construction period. The planned fire-protection and life-safety upgrades 
that were previously identified as a separate effort are now incorporated into this 
structural renovation to minimize impact on the functionality of critical services. Prior- 
year funding was used to address the most immediately essential repairs to the GSB. 
During the course of design in 2008-2009, the Institution re-evaluated programmatic 
uses of the GSB with the view that all functions except the commissary would need to 
be relocated during the construction period. Nearly all functions will be relocated 
temporarily into swing space for the duration of the phased construction. However, it 
was determined that the Vehicle Maintenance Branch, which services all Smithsonian 
vehicles, and used to reside in the GSB, would best serve the Institution by being 
permanently relocated to Suitland, Maryland. For FY 2013, the Institution requests 
$10.3 million to continue the work on the GSB structural renovation and retaining wall 
reconstruction. 



204 



PROGRESS TO DATE: 

Repairs addressing the most immediate areas of structural concern in the GSB 
were completed early in 2009. Temporary repairs to the wood lagging on the existing 
retaining wall were completed in 2010. Design for full structural stabilization, fire- 
protection, and life-safety upgrades of the GSB is substantially complete. Design of the 
permanent retaining wall reconstruction, including a supplemental environmental 
assessment, is under way and scheduled to be complete in July 2012. Construction of 
the Vehicle Maintenance Branch facility in Suitland was completed in November 201 1 
and the facility is now operational. In FY 2012, the Institution expects to award 
preparatory and swing space contracts for the GSB and retaining wall projects. 

IMPACT OF DELAY : 

Delay of the project will risk structural failure in the building and injury to staff or 
visitors. Deterioration of the building and retaining wall will accelerate, the amount of 
intervention needed to correct the problems will increase, and the costs will escalate. 
Until the work is completed, the NZP will not be able to comply with the USDA 
requirement to stop water infiltration into the commissary. 



205 



PROJECT TITLE: Upgrade Life-Safety and Infrastructure Systems 
INSTALLATION: National Zoological Park (NZP), Rock Creek and Front Royal 
LOCATIONS: Washington, DC and Front Royal, Virginia 

FY 2013 COST ESTIMATE (Thousands of Dollars): $6,450 

PRIOR-YEAR FUNDING : $27,631 

FUTURE-YEAR FUNDING: $18,200 

(projection based on master plan) 

Total $52,281 

PROJECT JUSTIFICATION: 

Much of NZP's current utility, safety, and fire-protection infrastructure is obsolete and 
failing, and does not meet the needs of the National Zoo to protect and support the safety of 
animals, staff, and visitors. Correcting deficiencies in water and electrical service mains and 
distribution is crucial to provide critical fire-suppression systems in many of the unprotected 
areas of the Zoo, and to supply adequate water for the animals. 

PROJECT DESCRIPTION: 

The Institution requests $6.45 million in FY 2013 to install critical fire-protection and 
life-safety systems at both the Rock Creek Park and Front Royal, Virginia facilities, 
including utility upgrades and upgrades to water, sewage, and storm-water management; 
power distribution system upgrades; correction of containment and structural deficiencies; 
and installation of smoke-evacuation equipment in areas where animals are kept. 

PROGRESS TO DATE : 

The Institution uses a master plan to coordinate work at its Rock Creek Park and 
Front Royal locations by developing and implementing projects in priority order to address 
its infrastructure needs. Through FY 2011, many critical infrastructure and fire-protection 
projects have been completed with federal funding, including funds from the American 
Reinvestment and Recovery Act. Projects include: replacement of the medium-voltage 
electrical distribution system; new ductbank conduits, feeders, switches and transformers; 
replacement of the fire-protection water supply from the Adams Mill gate to the Great Ape 
House (phases 1 and 2 of the utility master plan); installation/replacement of fire hydrants; 
upgrades to the fire-alarm, smoke-detection, and fire-suppression systems throughout all 
animal facilities; and installation of and/or upgrades to central fire alarm-monitoring system 
and fire protection for several facilities at NZP-Front Royal. Design continues for smoke- 
evacuation systems in animal facilities, phased implementation of fire protection is under 
way for remaining Front Royal facilities, and the Zoo will continue implementing utility 
master plans for both the Rock Creek and Front Royal facilities. 

IMPACT OF DELAY: 



A delay in completing this work would endanger the animals, visitors, and staff, and 
would hamper the care and safety of the live animal collections. 



206 



PROJECT TITLE: Construct Police Station 
INSTALLATION: National Zoological Park (NZP) 
LOCATION: Front Royal, Virginia 

FY 2013 COST ESTIMATE (Thousands of Dollars): $1,000 

Total $1,000 

PROJECT JUSTIFICATION: 

Discovering and understanding biological diversity and advancing scientific 
solutions for conserving wildlife cannot be achieved without significant creative 
collaboration. Toward that end, the Institution and George Mason University (GMUj 
signed a Memorandum of Agreement (MOA) in October 2008 to establish a 
collaborative education program in global conservation studies. The program is to be 
housed in new and renovated facilities at the Smithsonian Conservation Biology 
Institute (SCBI) in Front Royal, Virginia which are currently under construction and 
scheduled to open in the fall of 2012. Collaborative partnerships between the NZP and 
other organizations, such as SIGEO and the NSF-sponsored NEON initiative, will also 
be headquartered at SCBI in Front Royal. The increase in on-site population, including 
up to 120 undergraduate and professional participants in residence, and teams of 
visiting scientists, requires adequate on-site protection services. The security function 
currently operates in space that is inadequate and inappropriate for the purpose. The 
new facility will include an area to detain suspects and will be accessible to staff and 
local law enforcement officers 24 hours a day. 

PROJECT DESCRIPTION: 

The Institution requests $1.0 million in FY 2013 for a new security facility near the 
main entrance to the Front Royal property, upgrades to the automated gates, and security 
camera capability. 

PROGRESS TO DATE: 



Planning and design began in 2010 and construction documents will be complete 
by mid-2012. 

IMPACT OF DELAY: 



If the project is not funded, the safety of students, researchers, staff, and animals 
at SCBI will be at risk due to an undersized security presence and inadequate security 
controls. In addition, because of the rural location of SCBI in Front Royal, other law- 
enforcement agencies would not be readily available to help provide security assistance 
in a timely manner, if called. 



207 



PROJECT TITLE: Renovate Mathias Laboratory/Replace Trailers 
INSTALLATION: Smithsonian Environmental Research Center (SERC) 
LOCATION: Edgewater, Maryland 

FY 2013 COST ESTIMATE (Thousands of Dollars): $15,110 

PRIOR-YEAR FUNDING: $25,476 

Total $40,586 

BACKGROUND: 

SERC conducts long-term research addressing such issues as global climate 
change, the effects of nutrients/chemicals passing through our landscapes, maintenance 
of productive fisheries, changes to our environment from biological invaders, and 
protection of fragile wetlands and woodlands. SERC is situated on an approximately 
2,650-acre site along the Rhode River on the shore of the Chesapeake Bay. The Center's 
laboratories are housed in the Mathias Lab and a series of dilapidated temporary trailers. 
The Mathias Lab itself is a converted dairy barn that has been modified in several phases 
over the years — the oldest portion of the building dates from 1935. 

PROJECT JUSTIFICATION: 



SERC needs to reconfigure existing laboratory and support space to achieve an 
integrated solution to three critical problems revealed by an analysis of the facility. First, 
SERC must eliminate the use of decrepit and unsafe trailers that provide 25 percent of the 
organization's laboratory space and 65 percent of its office space. Second, substandard 
laboratory and support space must be upgraded to eliminate unsafe conditions and 
improve operating efficiencies. Third, energy and maintenance inefficiencies must be 
eliminated to control operating costs. 

PROJECT DESCRIPTION: 



This project will replace all on-site temporary trailers with a 62,000-square-foot 
laboratory and support facility, and renovate the existing Mathias Laboratory to achieve 
code-compliant laboratory and support space. The fully integrated 90,300-square-foot 
facility will incorporate sustainable technologies and building methods to achieve improved 
functional relationships and reduced energy and maintenance costs. The Institution 
requests $15.11 million in FY 2013 to complete construction. 

PROGRESS TO DATE: 



The Smithsonian awarded a construction contract for the full scope of work in April 
201 1 . The project is on schedule and approximately 1 5 percent complete. The FY 201 3 
funding will allow for construction to be completed in May 2014. 

IMPACT OF DELAY: 

A delay in the construction schedule will increase project costs significantly, as well 
as increase risks associated with use of the temporary trailers. In addition, it will delay the 
realization of energy and maintenance cost savings generated by this project. 



208 



PROJECT TITLE: Construct Collections Storage Swing Space 
INSTALLATION: Suitland Collections Facility 
LOCATION: Suitland, Maryland 

FY 2013 COST ESTIMATE (Thousands of Dollars): $4,000 

FUTURE-YEAR FUNDING: $8,000 

Total $12,000 

BACKGROUND: 

An exhaustive evaluation of the Smithsonian's collections storage space has 
identified the Suitland Collections Facility, specifically the Garber collections storage site. 
as having almost half of the Smithsonian's below acceptable collections space. Much of 
the more than 230,000 square feet of space is either not up to code requirements for 
structural support or is compromised by hazardous materials in and around the collections. 

PROJECT JUSTIFICATION: 

Buildings 15, 16 and 18 contain asbestos and/or lead, and the collections therein 
have been contaminated. Encapsulation and containment fields of heavy polyethylene 
sheeting, which are more than 10 years old, are beginning to fail, further contaminating 
the collections. The August 201 1 earthquake and hurricane exacerbated this problem by 
causing the sheeting to split in many locations. Only a few highly trained and qualified 
Smithsonian staff, properly outfitted in full hazmat suits with respirators, are permitted in 
the buildings. Otherwise, they are closed and locked, and the collections within the three 
buildings are not available for research, exhibition, display, or loan, and are off limits to 
academia and the public. In addition to hazmat concerns, the structural designs of the 
buildings have been evaluated and found to be structurally inadequate to withstand 
current code-required combination wind and snow loads. This project will provide swing 
space, permitting cleanup and temporary storage of collections, and allow for remediation 
and removal of the contaminated facilities. 

PROJECT DESCRIPTION: 

The first phase is to create swing space to store cleaned collection items, by 
erecting a temporary, pre-manufactured 20,000-square-foot building on the adjacent 
concrete pad of recently removed Building 21 . The Smithsonian will also temporarily lease 
20,000 square feet of off-site collections storage space. The next step will be to build a 
decontamination chamber within Building 15, and begin the process of decontaminating 
the collections. This labor-intensive process includes accounting and inventory 
assessments, stabilizing the collection, and moving cleaned collections into the new 
temporary swing space at Garber. This swing space will serve as the area for emergency 
conservation and treatment, packing and crating, and will be the new shipping and 
receiving hub for Garber. The collections will then be shipped to the leased space for 
short-term storage. Upon completion of the removal of its contents, Building 15 will be 
demolished. Phase II and Phase III will repeat this process for Buildings 16 and 18. For 
FY 2013, the Smithsonian requests $4 million to begin the first phase of this project. 



209 



PROGRESS TO DATE: 

This project is part of the larger Garber redevelopment master plan that was 
revised most recently in 2005. Additional work to implement the master plan cannot 
proceed until the swing space is provided. 

IMPACT OF DELAY: 

Temporary fixes and "Band-Aids" to these three buildings, which were originally 
constructed as 10-15 year temporary buildings in the 1950s, continue to be applied to 
these collections spaces. The temporary fixes are holding the facilities stable, but, to be 
prudent stewards of the national collections, action must be taken to protect, preserve 
and provide access to these trapped collections before the facilities are further 
contaminated or the structures collapse and potentially spread hazmat contamination in 
the surrounding area. Aside from the risk to the public that this situation presents, the 
Smithsonian cannot proceed with the remainder of the master plan improvements at the 
Garber and Suitland facilities without this first phase being initiated. 



210 



PROJECT TITLE: Gamboa Development: Replace Laboratory Facilities 
INSTALLATION: Smithsonian Tropical Research Institute (STRI) 
LOCATION: Panama 

FY 2013 COST ESTIMATE (Thousands of Dollars): 

Replace Laboratory Facilities $7,000 

PRIOR-YEAR FUNDING: $13,362 

Total $20,362 

BACKGROUND: 

STRI is the principal U.S. organization devoted to research in tropical biology. 
Both scientific and human welfare depend on a continuing commitment to research in 
tropical biology for such things as finding untapped tropical resources to add to the 
important supply of food, pharmaceuticals, and fiber already supplied from the tropics, 
and to develop a better understanding of how to avoid further ecological catastrophes 
such as drought, starvation, and flooding caused by deforestation and overpopulation of 
tropical regions. 

STRI recently used trust funds to purchase 18 acres (formerly leased) from the 
Republic of Panama at a location in Gamboa. STRI also has custodianship of 156 
acres of adjacent forest. Gamboa is the central location of STRI's terrestrial research 
and the departure point for the ferry ride to Barro Colorado Island (BCI) Nature 
Monument, another key research site over which STRI maintains custodianship. 
Gamboa is a unique location in that it is protected by geography from encroachment of 
civilization and pollution, and is adjacent to the 55,000-acre Soberania National Park, 
considered the most accessible moist forest in Central America and northern South 
America, where habitats and species are found that are not present at BCI. The 
availability of space, natural light, and the relative absence of air pollution have 
dramatically benefited STRI's experimental plant research program. This program and 
others like it are critical to understanding the role that tropical plants and soils play in 
global climate change models, and for enriching our knowledge of tropical biodiversity. 

PROJECT JUSTIFICATION: 

Future development at Gamboa will be further defined as part of the overall master 
plan for STRI, which is currently being updated. A key element of the plan will be to 
consolidate the Terrestrial Tropical Science program, from its current urban location to 
Gamboa, to take advantage of the excellent research conditions and more direct access 
to research sites. The research staff, currently located at three sites and in four different 
buildings, will be relocated to the Gamboa campus. STRI administrative staff, currently 
located in three buildings, will be relocated to the Tupper Center at the edge of Panama 
City, which will permit STRI to demolish or transfer approximately 48,000 square feet of 
old, expensive-to-maintain buildings in Panama City. This major consolidation will lead to 
an immediate improvement in administrative efficiency and will establish a critical mass of 
researchers in a single location, permitting improved flow of ideas and major equipment 
sharing, as well as shortening the distance to research sites. 



211 



PROJECT DESCRIPTION: 

Anticipating the results of the master plan, the next step in developing the 
Gamboa site is the replacement of the Santa Cruz School to provide critical laboratory 
space for Terrestrial Tropical Science. The building has been unoccupied — and 
unoccupiable — for many years. A structural assessment determined that it would be 
more cost effective to replace the old facility with a comparably sized building made of 
concrete and/or steel, with low-maintenance, pest-free materials that meet the full 
requirements for use as a laboratory building. The Institution plans to replace the space 
in the Santa Cruz School, as well as the space in other buildings in Gamboa and 
Panama City that STRI must return to the Republic of Panama, with a new building of 
approximately 40,000 square feet. The new building will be slightly larger than the 
current space to accommodate the latest building codes and provide sufficient space for 
mechanical equipment. In addition to the building itself, the basic utilities infrastructure 
will need to be upgraded to support the building and future development of the site. 
Specific requirements include upgrading the potable water, storage and wastewater 
systems; securing the perimeter; installing a backup generator and transformer; creating 
parking spaces and a driveway; and improving the site drainage system. 

For FY 2013, the Institution requests $7 million to complete the schoolhouse 
replacement for use as laboratory space, which includes the upgrade of site utilities and 
infrastructure. 

PROGRESS TO DATE: 

The design firm was selected in September 2009. The design work is complete 
and construction documents were completed in August 2011. The pre-construction 
phase has been completed, the ground-breaking ceremony is scheduled for the first 
week in February 2012, and the target date for completion is mid-2014. 

IMPACT OF DELAY: 

A further delay in developing the Gamboa site would hamper STRI's ability to 
consolidate terrestrial operations at Gamboa, with a resulting loss of research synergy 
and operational efficiency. 



212 



Other Revitalization Projects 

PROJECT TITLE: Modernize Electronic Security 

INSTALLATION: Cooper-Hewitt, National Design Museum (CHNDM) 

LOCATION: New York, New York 

FY 2013 COST ESTIMATE (Thousands of Dollars) : $2,000 

PROJECT DESCRIPTION : The existing security systems and features at the facility do 
not meet security standards and operational requirements. Additionally, much of the 
existing security communication wiring is run through emergency stairwells and is not 
consistent with safety standards, nor can the security needs of the Museum be met for 
special exhibits. To correct these deficiencies, this project will replace the existing 
security system from the control room to field security devices. Also, the Museum has 
two intercom systems which provide communications to various locations within the 
facility, including area rescue stations located in the west stairwell. The systems only 
function intermittently and will be replaced by a single system that can be integrated 
with newly modernized security and CCTV systems. 



PROJECT TITLE: Blast Mitigation 

INSTALLATION: Cooper-Hewitt, National Design Museum (CHNDM) 

LOCATION : New York, New York 

FY 2013 COST ESTIMATE (Thousands of Dollars) : $1,000 

PROJECT DESCRIPTION : Based on the Cooper-Hewitt, National Design Museum 
Window Vulnerability Assessment report dated May 2005, the Smithsonian determined 
the Museum's existing window system required upgrades to reduce potential hazards to 
occupants and meet performance requirements for blast protection. This project will 
upgrade the windows to meet that goal and also provide improved energy efficiency. 
thereby helping the Museum cut its utility costs. The design is now complete and ready 
for construction in FY 2013. 



PROJECT TITLE: Replace Switchgear 

INSTALLATION: National Museum of American History (NMAH) 

LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars) : $900 

PROJECT DESCRIPTION : Currently, substations 1 , 3, 7, and 8 do not meet the 
National Electrical Code (NEC). The NEC requires that switchgear protective devices, 
such as circuit breakers and relays, be able to withstand the current amperage that they 
will experience in the event of an electrical fault. The requested funds will be used to 
replace the switchgear devices. 



213 



PROJECT TITLE: Upgrade Perimeter Gates/Controls 
INSTALLATION : National Zoological Park (NZP) — Rock Creek 
LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars) : $1,100 

PROJECT DESCRIPTION: As part of an accreditation inspection, the American Zoo 
and Aquarium Association (AZA) noted that the NZP lacked a full perimeter enclosure 
as required by USDA and AZA codes. Improving perimeter containment fencing is 
necessary to meet AZA standards for protection against animal escapes and unwanted 
intrusions into the animal holding areas. As part of this requirement, gates must close 
automatically during an animal release. The design is complete for the fence and gates, 
which can be open and closed remotely while maintaining access for staff. The work will 
be completed in FY 2013. 



PROJECT TITLE: Repair Leaks and Replace Snow Melts 
INSTALLATION: Quadrangle 
LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars) : $850 

PROJECT DESCRIPTION : The snowmelt system at the Quadrangle loading dock ramp 
is more than 20 years old and cannot be maintained. In addition, the concrete top slab 
of the ramp has deteriorated and allows water to seep into the first level of the under- 
ground building. The project will replace the existing snowmelt system and top slab, and 
install a trench floor drain to ensure that snow and ice are properly cleared and all 
precipitation drained away from the building. Design will be completed during FY 2012. 
Construction is scheduled for FY 2013. 



PROJECT TITLE: Construction Supervision and Administration 
INSTALLATION: Multiple Locations 
LOCATION: Institution-wide 

FY 2013 COST ESTIMATE (Thousands of Dollars): $5,750 

PRIOR-YEAR FUNDING (FY 2012) : $5,750 

PROJECT DESCRIPTION: This request includes staff costs for permanent cost- 
estimating staff, the construction management staff required to supervise and administer 
construction contracts, as well as term and temporary staff required to perform 
specialized work associated with revitalization projects. A total of 48 FTEs will be funded 
from the $5.75 million. The construction managers directly supervise construction 
contractors to ensure that quality work is performed safely. In addition, they resolve 
issues that arise during construction, negotiate change orders, approve payments, and 
perform other administrative functions as contracting officer's technical representatives 



214 



(COTRs). These necessary "owner functions" are critical to ensure that quality work is 
completed safely, on time, and within budget. 

This request also funds five contract specialists who support all aspects of the 
procurement process for acquiring the necessary contract services to execute the 
Capital Program. These five positions provide essential expertise to ensure the timely 
award of planning, design, and construction contracts for the Capital Program. 



215 



FACILITIES PLANNING AND DESIGN 

Feasibility studies, needs assessments, and design for capital projects are 
required before site work can take place. This category includes all costs for contract 
facility master planning, preliminary and final design for all revitalization and construction 
projects, special studies, and a small amount for facility engineering, capital leveraging, 
and research activities, similar to operations at the Department of Defense and the 
National Aeronautics and Space Administration (NASA). The funding will enable 
development of project baselines, including costs, scope, and schedules, prior to 
receiving funds to perform the work. 

In order to plan and design ahead of Capital Program execution, funding of 10 to 
15 percent of the following year's program is required each year. The funding requested 
for FY 2013 will provide necessary planning and design to the 35 percent stage for most 
projects included in the planned FY 2015 program, and will complete design for projects 
planned for FY 2014. This will move the Institution closer to meeting the National 
Academy of Public Administration's (NAPA) recommendation that firm baselines be 
established before funding requests to provide more accurate cost estimates and to 
enable timely award of construction contracts upon receipt of future-year funding. 

The Institution requests a total of $10,850,000 for planning and design in 
FY 2013. These funds will be used to design several major revitalization projects at the 
National Museum of Natural History ($2.5 million), the National Zoological Park 
($2.0 million), the National Air and Space Museum ($1.25 million), the Hirshhom Museum 
and Sculpture Garden ($1.0 million), the Renwick Gallery ($1.0 million), and the 
Smithsonian Castle ($0.65 million). The request also includes funding to prepare designs 
for numerous smaller revitalization projects and master planning ($2.45 million). This 
budget request will also enable the Smithsonian to prepare comprehensive master 
planning studies to guide future facilities decisions, and other studies to ensure more 
effective use of existing space. 

If these essential resources are not provided, the Institution will be unable to 
proceed with vital planning and design activities to ensure the successful execution of 
the Smithsonian's long-range Capital Program. 



216 



CONSTRUCTION PROJECTS 

PROJECT TITLE: Plan, Design, and Construct the National Museum of 

African American History and Culture 
INSTALLATION: National Museum of African American History and Culture 
LOCATION: Washington, DC 

FY 2013 COST ESTIMATE (Thousands of Dollars): $85,000 

PRIOR-YEAR FUNDING : $119,880 

FUTURE-YEAR FUNDING (FY 2014): $50,120 

Total $255,000 

BUILDING BACKGROUND: 

The National Museum of African American History and Culture Act, signed by 
President George W. Bush on December 19, 2003, established the newest museum 
within the Smithsonian Institution. 

PROJECT JUSTIFICATION: 

The purpose of the proposed action is to fulfill the mandate of the National 
Museum of African American History and Culture Act (NMAAHC Act), P.L. 108-184, 
enacted by the Congress on December 16, 2003. The law directs that the new Museum 
provide for the collection, study, and establishment of programs relating to African 
American life, art, history, and culture. To that end, the Museum will create and maintain 
permanent and temporary exhibits documenting the history of African American life 
during the periods of slavery, Reconstruction, the Harlem Renaissance, the civil rights 
movement, and other periods of the African American diaspora. The Museum will also 
provide for the collection and study of artifacts and documents relating to African 
American life, and foster collaboration with other museums, historically black colleges 
and universities, and other organizations to promote the study and appreciation of 
African American life and its impact on the nation and its entire people. 

Section 2 of the NMAAHC Act outlines the findings of Congress as to why such a 
museum is needed. The findings of Congress were based in large part on the 
conclusions of the Presidential Commission, known as the NMAAHC Plan for Action 
Presidential Commission, in its 2003 study, The Time Has Come: Report to the 
President and Congress. This Presidential Commission stated that: 

"... the time has come to establish the National Museum of African 
American History and Culture because the museum is important not only 
for African Americans but for all Americans. It is the only institution that 
can provide a national meeting place for all Americans to learn about the 
history and culture of African Americans and their contributions to and 
relationship with every aspect of our national life. Further, the museum is 
the only national venue that can respond to the interests and needs of 
diverse racial constituencies who share a common commitment to a full 

217 



and accurate telling of our country's past as we prepare for our country's 
future. And, even more importantly, it is the only national venue that can 
serve as an educational healing space to further racial reconciliation." 

PROJECT DESCRIPTION: 

The Museum will be built on a five-acre site, located on the National Mall near 
the Washington Monument. The site is bounded by Constitution Avenue and Madison 
Drive, between 14th and 15th Streets, NW. This site has westerly panoramic views, 
sweeping from the White House grounds on the northwest to the Jefferson Memorial on 
the southwest. The National Mall and the Washington Monument are both listed on the 
National Register of Historic Places. For FY 2013, the Smithsonian requests $85 million 
to continue construction of this congressionally mandated Museum. 

PROGRESS TO DATE: 

The Smithsonian Board of Regents selected the Monument site for the new 
Museum building in January 2006. Transfer of the site from the National Park Service to 
the Smithsonian was completed in June 2007. The Cultural Resources Report (Section 
106) and the "Tier 1" environmental impact statement (EIS), as well as the "Master 
Facilities Programming" (Architectural Programming/Exhibitions Master Planning), were 
completed in 2008. A design competition involving six invited architect-engineer (A/E) 
teams culminated in April 2009 with the selection of Freelon Adjaye Bond/SmithGroup 
as the A/E team for the Museum design. The Institution awarded an A/E design contract 
in early FY 2010. Extensive historic preservation consultations resulted in a 
"programmatic agreement" that specifies mitigation actions. The final EIS ("Tier 2") and 
Record of Decision were adopted by the National Capital Planning Commission (NCPC) 
at their November 201 1 meeting. At the same meeting, NCPC approved the preliminary 
design and gave final approval to start site utilities and excavation. After a best value 
solicitation for construction management at risk, Clark/ Smoot/ Russell, JV was selected 
and awarded pre-construction services in July 201 1. The first construction package for 
site preparation and utilities is expected to be under way in the winter of 201 1 , followed 
by excavation in spring 2012. The exhibit design firm of Ralph Appelbaum Associates 
was awarded a contract in February 201 1 , and will progress to the schematic design 
stage by summer 2012. 

IMPACT OF DELAY: 



The Museum is scheduled to open in late 2015 (FY 2016) to coincide with the 
1 50th anniversary of the end of the Civil War; the 1 50th anniversary of the 1 3th 
Amendment, which ended slavery in America; and the 50th anniversary of the Voting 
Rights Act. A delay in funding would impede the construction process. This would 
introduce schedule delays for both construction and exhibit installation, and result in 
probable increases to the overall estimated project costs. 



218 



EMERGENCY PROJECTS 

PROJECT TITLE: Earthquake Damage Repairs 

INSTALLATION: Multiple Locations 

LOCATION: Washington, DC and Suitland, Maryland 

FY 2013 COST ESTIMATE (Thousands of Dollars): 

National Air and Space Museum (NASM): Repairs to $5,250* 

Restore Leaking Exterior Envelope 

Museum Support Center (MSC): Structural Repairs and $11,250 * 

Seismic Upgrades to Pods 1 , 2, and 4 

Total $16,500 

* Does not include funding to complete design of the projects. 

BACKGROUND: 

The magnitude 5.8 earthquake of August 2011 damaged multiple Smithsonian 
buildings, along with the collections contained in each. NASM and MSC were especially 
hard hit, sustaining major building envelope breaches and structural damage. Damage 
to NASM's building envelope caused leaking skylights, as well as broken wall 
connections, rain leaders, and facade joints. The MSC, located in Suitland, Maryland, is 
the main collections storage location for many Smithsonian museums. Three of the five 
concrete-reinforced collections pods, due to the method of constructing interior floors 
using steel structures, experienced large movements of structural steel footings and 
slippage of the main girders holding the roofs. Their present condition requires repairs 
and seismic upgrades to prevent future damage. 

PROJECT JUSTIFICATION: 

At NASM, the skylight system has experienced numerous leaking frames and 
connections, which require extensive construction support involving interior scaffolds, 
suspended work platforms, phasing, lighting, and lifts to repair. The multi-jointed stone 
facade and flat built-up roof of the building were jolted and twisted by the earthquake, 
creating cracks and openings causing water and air leakage. Maintenance crews 
continue to patch leaks but the damage is so extensive that these repairs are only 
temporary and must continually be patched. As a result, exhibit, public, and 
administrative areas must constantly be monitored for water leaks and damage. 

At MSC, engineering surveys of the structure have demonstrated an immediate 
need for repairs that includes a seismic upgrade of the existing structure and roofing 
systems. Footings have been ripped from their anchors and roof beams slipped up to 
four inches away from their initial support seating. Although the structure performed as 
designed during the earthquake, avoiding total structural failure, this movement has 
compromised the original seismic design criteria for the structure. This is similar to an 
automobile that protected its occupants during a crash, but then requires repairs to 
enable it to perform that function again. In addition, to reduce damage to collections, the 
structure must be upgraded to prepare for the next earthquake. 



219 



PROJECT DESCRIPTION: 

The NASM scope of work consists of exterior fagade restoration, replacement of 
damaged marble cladding, anchors and clips; insulation; waterproofing of the cavities 
between the interior/exterior walls; corner roof repairs; flashing; patching of parapets; 
restoration of masonry wall coping; and repairs to the Museum's skylight system. 

Required work at MSC entails reseating the roof beams and interior floor 
structural systems, seismic upgrading of the connections to the main building structure, 
and rebuilding damaged roofs and walls. 

For FY 2013, the Institution requests $5.25 million for NASM and $1 1 .25 million 
for MSC to perform this work. 

PROGRESS TO DATE: 

Damage surveys, pre-project planning, and cost estimates have been completed 
to assess specific repairs and necessary seismic upgrades. Design efforts in FY 2012 
will prepare for construction in FY 2013. The Smithsonian anticipates reprogramming 
funds during FY 2012 to cover design costs and some minor repairs. 

IMPACT OF DELAY: 

If funding is delayed, NASM's roof and exterior wall systems will continue to 
deteriorate, preventing the Smithsonian from maintaining the required environmental 
conditions for the Museum's collections, exhibits, and the visiting public. The MSC pods, 
although considered safe in their present state, have received structural damage and 
must be restored to current local seismic code criteria. Without this work, the structure 
and collections may be at risk of sustaining even more damage in a future earthquake. 



220 



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221 



VISITS TO THE SMITHSONIAN 
FY2007-FY2011 



MUSEUM 


FY 2007 


FY 2008 


FY 2009 


FY 2010 


FY 2011 


MALL 












SI Castle 


1,580,962 


1,683,655 


1,823,699 


1,813,818 


1,599,986 


A&l Building 1 

















Natural History 


7,285,149 


6,583,858 


7,543,542 


6,969,616 


6,768,580 


Air and Space/ 
Silver Hill 


5,942,353 


6,867,547 


7,040,578 


8,013,000 


7,283,019 


American Indian 


1,822,087 


1,479,338 


1,412,202 


1,365,915 


1,326,457 


Freer Gallery 


564,178 


606,486 


624,219 


516,164 


542,792 


Sackler Gallery 


318,792 


283,671 


321,749 


307,732 


373,800 


African Art 


290,727 


311,788 


376,610 


333,342 


369,635 


Ripley Center 


278,672 


415,601 


444,536 


365,580 


447,224 


American History 2 








4,178,295 


4,237,760 


4,588,853 


Hirshhom 


743,126 


670,330 


685,016 


612,460 


617,751 


OFF MALL 












DW Reynolds 
Center (AA/PG) 


787,648 


960,202 


1,042,915 


1,010,876 


1,080,177 


Renwick 


122,801 


129,124 


166,198 


145,555 


161,765 


Anacostia 


38,288 


38,963 


29,691 


52,552 


50,785 


Cooper-Hewitt 


226,998 


165,468 


164,098 


180,852 


233,732 


American Indian 3 
(Heye Center/CRC) 


275,542 


318,312 


286,053 


295,862 


352,463 


National Zoo 


2,843,018 


2,061,848 


2,275,626 


2,217,060 


1,825,329 


Postal 


365,180 


306,785 


356,993 


330,453 


334,039 


Udvar-Hazy Center 


1,069,398 


1,128,003 


1,199,655 


1,106,804 


1,198,873 


TOTAL 


24,554,919 


24,010,979 


29,971,675 


29,875,401 


29,155,260 



The Arts and Industries (A&l) Building closed to the general public in January 2004. 
2 
The National Museum of American History closed to the public in September 2006 and reopened in 

November 2008. 
3 
Includes the George Gustav Heye Center in New York City and the Cultural Resources Center in Suitland, 

Maryland. 



222 



TRUST FUNDS 

In addition to support provided by federal appropriations, the Smithsonian 
Institution receives and generates trust funds to expand and enrich its programs. 
Growing the trust budget is key to accomplishing the Institution's Strategic Plan 
objectives in fiscal years (FYs) 2012-2017. The Institution will take steps in 
FY 2013 to increase revenue from diverse private sources by strengthening the 
Smithsonian's fundraising capability, launching a national campaign, and 
identifying new sources of revenue. Trust funds will be used to leverage the 
Smithsonian's research capacity through partnerships with federal agencies, 
universities, non-governmental organizations, industry, and other private 
organizations, national and international. Trust funds will also be raised to meet 
the Institution's funding commitment with Congress to open the National Museum 
of African American History and Culture. Trust funds will also be used to 
renovate and modernize exhibits through out the Institution. The following 
provides an overview of the current sources of trust funds. 

The Institution's trust funds include general trust funds with limited or no 
restrictions on their use, funds restricted by the donor or sponsor, and 
Government grants and contracts. Projections are subject to the uncertainty of 
the size of donations, grants, and contracts, to fluctuations in visitor attendance, 
and to the volatility of the economy, which directly affect the return on the 
endowment, short-term interest income, and donor giving, as well as restaurant, 
magazine, catalogue, and museum shop revenues, memberships, and other 
business activities. The Institution's gross operating revenue, less the expenses 
of the auxiliary activities, represents the net operating revenue available for 
programmatic and related purposes. The following table summarizes the sources 
of trust operating funds. 



(Dollars in Millions) 


FY 2011 
Estimate 


FY 2012 

Estimate 


General Trust 


78.1 


76.2 


Donor/Sponsor-Designated 


191.5 


209.0 


Government Grants and Contracts 


138.7 


142.9 


Total Available for Operations 


$408.3 


$428.1 



SOURCE AND APPLICATION OF TRUST FUNDS — The following sections 
describe the sources of each category of trust funds as well as a general account 
of how they are used. 

General Trust Funds — The sources of general trust funds are 
investment income; payout from unrestricted endowments; net proceeds from the 
museum shops, catalogues, and food service concessions; sales of Smithsonian 
books, records, and other products based on designs and objects in the 
collections; theater/planetarium operations at the National Air and Space 
Museum and the Samuel C. Johnson IMAX Theater in the National Museum of 

223 



Natural History; licensing fees from the Smithsonian Channel and student travel 
programs; rental of exhibitions of the Smithsonian Institution Traveling Exhibition 
Service; membership programs (including Smithsonian and Air and Space 
magazines); the sale of posters, exhibition brochures, catalogues, and other 
publications; and admission fees. Projected sources of FY 2012 general trust 
funds total $76,200,000. These funds are used to support administrative 
programs such as central management, legal counsel, accounting, personnel, 
contracting, and budget, as well as fund raising, education, research and public 
programs, scholarly studies, and exhibitions. 

Donor/Sponsor-Designated Funds — Designated trust funds include 
gifts, grants, and earnings on endowments from individuals, foundations, 
organizations, and corporations that specify the purpose of the funds. Designated 
funds in FY 2012 are projected to total $209,000,000. Generally, these funds 
support a particular exhibition or program, or are used to manage the 
Smithsonian collections and/or support research projects. 

Government Grants and Contracts — Various Government agencies 
and departments provide grants and contracts for projects that align with the 
Smithsonian's expertise in a particular area of science, history, art, or education. 
For FY 2012, Government grants and contracts are projected to be 
$142,900,000. Of this amount, $69,000,000 would be available for astrophysical 
research and development carried out by the Smithsonian Astrophysical 
Observatory. 



224 



APPROPRIATION LANGUAGE AND CITATIONS 



The Act of August 10, 1846, codified within 20 U.S.C. §§41-70, 
established the Smithsonian Institution "for the increase and diffusion of 
knowledge," and provided the organizational structure for the Institution's 
administration. The mission of the Smithsonian Institution has remained 
unchanged throughout its 166-year history, although additional authority for many 
of the Institution's programs and operations has been enacted over the years. 
Those statutes, along with the Smithsonian charter, are cited below as the 
authority for the Smithsonian Institution's FY 2012 appropriation language, 
except where specific authorizing language has been included in the wording of 
the appropriation itself. 

Appropriation: Salaries and Expenses 

1 . For necessary expenses of the Smithsonian Institution, as authorized by 
law, including research in the fields of art, science, and history; 

20 U.S.C. § 50 provides that "...all objects of art and of foreign and 
curious research, and all objects of natural history, plants, and 
geological and mineralogical specimens. ..shall be so arranged and 
classified. ..as best to facilitate the examination and study of them..." 

20 U.S.C. § 53a provides that "Appropriations are hereby 
authorized for.. .the making of solar observations at high altitudes..." 

20 U.S.C. § 69 provides that "The Secretary of the Smithsonian 
Institution is hereby authorized. ..to continue independently or in 
cooperation anthropological researches among the American 
Indians and the natives of lands under the jurisdiction or protection 
of the United States..." 

20 U.S.C. § 75b(b) provides that "The [National Portrait] Gallery 
shall function as a free public museum for the exhibition and study 
of portraiture and statuary depicting men and women who have 
made significant contributions to the history, development, and 
culture of the people of the United States and of the artists who 
created such portraiture and statuary." 

20 U.S.C. § 76bb(c) provides that "The Joseph H. Hirshhorn 
Museum and Sculpture Garden. ..shall be used for the storage, 
exhibition, and study of works of art..." 



225 



20 U.S.C. § 77a provides that "Said national air and space museum 
shall. ..provide educational material for the historical study of 
aviation and space flight." 

20 U.S.C. § 78 provides that "The Secretary of the Smithsonian 
Institution is hereby authorized to cooperate with any State, 
educational institution, or scientific organization in the United 
States, for continuing paleontological investigations..." 

20 U.S.C. § 80a(a) provides that "...It shall be equipped with a 
study center for scholarly research into the meaning of war, its 
effect on civilization, and the role of the Armed Forces..." 

20 U.S.C. § 80m(a)(3) provides that "...the Board may--. ..(3) 
conduct programs of research and education [in the Museum of 
African Art]..." 

20 U.S.C. §§ 80q-1 (b)(1), (3) provide that "The purposes of the 
National Museum [of the American Indian] are to-- (1) advance the 
study of Native Americans, including the study of language, 
literature, history, art, anthropology, and life. ..(3) provide for Native 
American research and study programs..." 

2. development, preservation, and documentation of the National 
Collections; 

20 U.S.C. § 50 provides that "...all objects of art and of foreign and 
curious research, and all objects of natural history, plants, and 
geological and mineralogical specimens. ..shall be delivered to such 
persons as may be authorized by the Board of Regents to receive 
them, and shall be so arranged and classified. ..as best to facilitate 
the examination and study of them..." 

20 U.S.C. § 50a provides that "The Smithsonian Institution is . . . 
authorized to include in its estimates of appropriations such sums 
as may be needful for the preservation and maintenance of the 
[John Gellatly art] collection." 

20 U.S.C. § 59 provides that "All collections of rocks, minerals, 
soils, fossils, and objects of natural history, archaeology, and 
ethnology. ..when no longer needed for investigations in progress 
shall be deposited in the National Museum." 

20 U.S.C. § 69 provides that "The Secretary of the Smithsonian 
Institution is hereby authorized. ..to continue independently or in 



226 



cooperation. ..the excavation and preservation of archaeological 
remains." 

20 U.S.C. § 75e(1 ) provides that "...the Board may- (1 ) purchase, 
accept, borrow, or otherwise acquire portraiture, statuary, and other 
items for preservation, exhibition, or study." 

20 U.S.C. § 76c(b) provides that "(b).. .the Regents are hereby 
authorized. ..to acquire (by purchase or otherwise) and sell 
contemporary works of art or copies thereof..." 

20 U.S.C. § 76cc(a) provides that "(a) There is established in the 
Smithsonian Institution a Board of Trustees. ..which shall have the 
sole authority (i) to purchase or otherwise acquire (whether by gift, 
exchange, or other means) works of art for the Joseph H. Hirshhorn 
Museum and Sculpture Garden..." 

20 U.S.C. § 77a provides that "Said national air and space museum 
shall. ..collect, preserve, and display aeronautical and space flight 
equipment of historical interest and significance..." 

20 U.S.C. § 80a(a) provides that "(a). ..the Smithsonian Institution 
shall collect, preserve, and exhibit military objects of historical 
interest and significance." 

20 U.S.C. §§ 80m(a)(1),(2) provide that "...the Board may-- (1) 
purchase, accept, borrow or otherwise acquire additional works of 
art or any other real or personal property for the Museum [of African 
Art]; (2) preserve, maintain, restore. ..or otherwise hold any property 
of whatsoever nature acquired..." 

20 U.S.C. § 80q-1 (b)(2) provides that "(b) The purposes of the 
National Museum [of the American Indian] are to-- ...(2) collect, 
preserve, and exhibit Native American objects of artistic, historical. 
literary, anthropological, and scientific interest..." 

20 U.S.C. § 81 provides that "The National Zoological Park is 
placed under the direction of the Regents of the Smithsonian 
Institution, who are authorized to transfer to it any living specimens. 
whether of animals or plants, in their charge, to accept gifts for the 
park. ..[and] to make exchanges of specimens..." 



227 



3. presentation of public exhibits and performances; 

20 U.S.C. § 75b(b) provides that "(b)The [National Portrait] Gallery 
shall function as a free public museum for the exhibition and study 
of portraiture and statuary..." 

20 U.S.C. § 76c(b) provides that "(b) In order to encourage the 
development of contemporary art and to effect the widest 
distribution and cultivation in matters of such art, the Regents are 
hereby authorized to. ..conduct exhibitions..." 

20 U.S.C. § 76bb(c) provides that "(c) The Joseph H. Hirshhorn 
Museum and Sculpture Garden. ..shall be used for the storage, 
exhibition, and study of works of art..." 

20 U.S.C. § 77a provides that "Said national air and space museum 
shall. ..collect, preserve, and display aeronautical and space flight 
equipment of historical interest and significance..." 

20 U.S.C. § 80a(a) provides that "(a). ..the Smithsonian Institution 
shall collect, preserve, and exhibit military objects of historical 
interest and significance." 

20 U.S.C. § 80m(a)(2) provides that "...the Board may- 

...(2)... display. ..any property of whatsoever nature acquired [for the 

Museum of African Art]..." 

20 U.S.C. § 80q-1 (b) provides that "(b) The purposes of the 
National Museum [of the American Indian] are to--. ..(2) collect, 
preserve, and exhibit Native American objects of artistic, historical, 
literary, anthropological, and scientific interest..." 

4. collection, preparation, dissemination, and exchange of information and 
publications; 

20 U.S.C. § 53a provides that "Appropriations are hereby 
authorized for.. .preparation of manuscripts, drawings, and 
illustrations for publications." 

5. conduct of education, training, and museum assistance programs: 

20 U.S.C. §§ 65a(a)(1 ),(3),(4) provide that "The Director of the 
National Museum under the direction of the Secretary of the 
Smithsonian Institution shall- (1) cooperate with museums and 
their professional organizations in a continuing study of museum 
problems and opportunities, both in the United States and 



228 



abroad;... (3) prepare and distribute significant museum 
publications; (4) perform research on, and otherwise contribute to, 
the [development of] museum techniques...." 

20 U.S.C. § 77a provides that "Said national air and space museum 
shall. ..provide educational material for the historical study of 
aviation and space flight." 

20 U.S.C. § 79a provides that "The purpose of setting aside such 
an area [Barro Colorado Island] is to preserve and conserve its 
natural features... thus providing a place where duly qualified 
students can make observations and scientific investigations for 
increase of knowledge, under such conditions and regulations as 
may be prescribed by the [Smithsonian Institution]." 

20 U.S.C. § 79e provides that "There are authorized to be 
appropriated annually.. .such sums as are necessary for the 
administration of [the Canal Zone Biological Area] ... and for the 
maintenance of laboratory or other facilities..." 

20 U.S.C. § 80m(a) provides that "(a).. .the Board [of Regents] may -- 
...(3) conduct programs of research and education [in the Museum of 
African Art]...." 

6. maintenance, alteration, operation, lease agreements of no more than 30 
years, and protection of buildings, facilities, and approaches; 

20 U.S.C. § 53a provides that "Appropriations are hereby 
authorized for the maintenance of the Astrophysical Observatory 
and. ..for repairs and alterations of buildings and grounds occupied 
by the Smithsonian Institution in the District of Columbia and 
elsewhere..." 

20 U.S.C. § 76g provides that "There are hereby authorized to be 
appropriated annually such sums as may be necessary to maintain 
and administer the [National Portrait] Gallery..." 

20 U.S.C. § 76ee provides that "There is authorized to be 
appropriated. ..such additional sums as may be necessary for the 
maintenance and operation of such...[Hirshhorn] museum and 
sculpture garden." 

20 U.S.C. § 79b(c) provides that "The ...[Smithsonian Institution] 
shall. ..(c) be responsible for the construction and maintenance of 
laboratory and other facilities on the area provided for the use of 



229 



students authorized to carry on studies within the confines of the 
area..." 

20 U.S.C. § 80m(a)(2) provides that "...the Board may--. ..(2) 
preserve, maintain. ..any property of whatsoever nature acquired 
[for the Museum of African Art]..." 

20 U.S.C. § 81 provides that "The National Zoological Park is 
placed under the direction of the Regents of the Smithsonian 
Institution, who are authorized... to administer and improve the said 
Zoological Park for the advancement of science and the instruction 
and recreation of the people." Public Law 101-512 making 
appropriations for the Department of the Interior and Related 
Agencies for the fiscal year 1991 extended the maximum term for 
federal leases from ten years to thirty. 

7. not to exceed $ for services as authorized by 5 U.S.C. 3109; 

5 U.S.C. § 3109(b) provides that "(b) When authorized by an 
appropriation or other statute, the head of an agency may procure 
by contract the temporary (not in excess of 1 year) or intermittent 
services of experts or consultants or an organization thereof, 
including stenographic reporting services." 

8. and purchase, rental, repair, and cleaning of uniforms for employees, 

5 U.S.C. §§ 5901 (a)(1), (2) provide that "(a) There is authorized to 
be appropriated annually to each agency of the Government of the 
United States. ..on a showing of necessity or desirability, such sums 
as may be necessary to carry out this subchapter. The head of the 
agency concerned. ..shall-- (1 ) furnish to each of these employees a 
uniform at a cost not to exceed $400 a year.. .or (2) pay to each of 
these employees an allowance for a uniform not to exceed $400 a 
year..." 

40 U.S.C. § 6306(c) provides that "(c) The employees designated 
as special police under subsection (a) [covering the Smithsonian 
Institution] may be provided, without charge, with uniforms and 
other equipment as may be necessary for the proper performance 
of their duties..." 

9. $ , to remain available until September 30, 2013, except 

as otherwise provided herein; 

Wording added by the Congress in Public Law 1 1 1-88 making 
appropriations for the Department of the Interior and Related 



230 



Agencies for fiscal year 2010 to extend the availability for the 
Salaries and Expenses account from one year to two years unless 
otherwise provided. 

10. of which not to exceed $ for the instrumentation program, 

collections acquisition, exhibition reinstallation, the National Museum of 
African American History and Culture, and the repatriation of skeletal 
remains program shall remain available until expended; 

Wording added by the Congress in Public Law 100-446 making 
appropriations for the Department of the Interior and Related 
Agencies for fiscal year 1989 to permit the Institution to establish 
no-year funding within the Salaries and Expenses account for the 
development of major scientific instrumentation. Public Law 1 01 - 
512, making appropriations for the Department of the Interior and 
Related Agencies for fiscal year 1991, allowed no-year funding to 
be used for the instrumentation program as well as purchases for 
museum collections; the move to the Museum Support Center; the 
reinstallation of museum exhibitions; and the National Museum of 
the American Indian and the repatriation of skeletal remains. Public 
Law 1 08-447 making appropriations for the Department of the 
Interior and Related Agencies for fiscal year 2005 allowed no-year 
funding for the instrumentation program; collections acquisition; 
exhibition reinstallation; the repatriation of skeletal remains; and the 
National Museum of African American History and Culture. 

31 U.S.C. § 1301(c)(2) provides that "(c) An appropriation in a 
regular, annual appropriation law may be construed to be 
permanent or available continuously only if the appropriation-... (2) 
expressly provides that it is available after the fiscal year covered 
by the law in which it appears." 

1 1 . and including such funds as may be necessary to support American 
overseas research centers: 

Wording added by the Congress in Public Law 99-190 making 
appropriations for Other Related Agencies for fiscal year 1986. 

12. Provided, That funds appropriated herein are available for advance 
payments to independent contractors performing research services or 
participating in official Smithsonian presentations. 

31 U.S.C. § 3324(b)(1) provides that (b) "An advance of public 
money may be made only if it is authorized by-- (1) a specific 
appropriation or other law..." 



231 



Appropriation: Facilities Capital 

1 . For necessary expenses of repair, revitalization, and alteration of facilities 
owned or occupied by the Smithsonian Institution, by contract or 
otherwise, as authorized by section 2 of the Act of August 22, 1949 (63 
Stat. 623), 

20 U.S.C. § 53a provides that "Appropriations are hereby 
authorized. ..for repairs and alterations of buildings and grounds 
occupied by the Smithsonian Institution in the District of Columbia 
and elsewhere..." 

20 U.S.C. § 81 provides that "The National Zoological Park is 
placed under the direction of the Regents of the Smithsonian 
Institution, who are authorized. ..to administer and improve the said 
Zoological Park for the advancement of science and the instruction 
and recreation of the people." 

Public Law 108-108, making appropriations for the Department of 
the Interior and Related Agencies for fiscal year 2004, established 
the Facilities Capital appropriation. The appropriation includes 
activities formerly financed through the Repair, Restoration and 
Alteration of Facilities appropriation and the Construction 
appropriation. 

2. and for construction, 

20 U.S.C. § 53a provides that "Appropriations are hereby 
authorized. ..for repairs and alterations of buildings and grounds 
occupied by the Smithsonian Institution in the District of Columbia 
and elsewhere..." 

3. including necessary personnel, 

Wording added by Congress for clarification in Public Law 108-7 
making appropriations for the Department of Interior and Related 
Agencies for fiscal year 2003. 

4. $ to remain available until expended, 

31 U.S.C. § 1301(c)(2) provides that "(c) An appropriation in a 
regular, annual appropriation law may be construed to be 
permanent or available continuously only if the appropriation--... (2) 
expressly provides that it is available after the fiscal year covered 
by the law in which it appears." 



232 



of which not to exceed $ is for services as authorized by 5 U.S.C. 

3109, 

5 U.S.C. § 31 09(b) provides that "(b) When authorized by an 
appropriation or other statute, the head of an agency may procure 
by contract the temporary (not in excess of 1 year) or intermittent 
services of experts or consultants or an organization thereof, 
including stenographic reporting services." 

and of which $ shall be to complete design and begin construction 

of the National Museum of African American History and Culture: 

20 U.S.C. § 80-r-6(a)(2) provides that "The Board of Regents, in 
consultation with the [National Museum of African American History 
and Culture] Council, may plan, design, and construct a building for 
the Museum..." 

Provided, That during fiscal year 2012 and any succeeding fiscal year, a 
single procurement for construction of the National Museum of African 
American History and Culture, as authorized under section 8 of the 
National Museum of African American History and Culture Act (20 U.S.C. 
80r-6), may be issued that includes the full scope of the project: Provided 
further, That the solicitation and contract shall contain the clause 
"availability of funds" found at CFR 52.232.1 8. 

Wording added by Congress to Public Law 1 12-74 (Consolidated 
Appropriations Act, 2012) to permit the Smithsonian, as provided, 
to solicit and award a contract for the construction of the National 
Museum of African American History and Culture on the National 
Mall prior to receiving full funding to complete the project. 



233 



Smithsonian Response to Government Accountability Office 

Report on Repatriation 



The Government Accountability Office (GAO) released a study in May 
201 1 entitled, Smithsonian Institution: Much Work Still Needed to Identify and 
Repatriate Indian Human Remains and Objects (GAO-1 1-515). In its report, the 
GAO directed the Secretary of the Smithsonian Institution to submit a written 
statement of the actions taken, to the Senate Committee on Homeland Security 
and Governmental Affairs and to the House Committee on Oversight and 
Government Reform, in response to their recommendations, not later than 60 
calendar days from the date of the report. The GAO also directed the Institution 
submit its statement to the House and Senate Committees on Appropriations with 
the Institution's first request for appropriations made more than 60 calendar days 
after the date of the first submission. The attached letter submitted to GAO in 
July 201 1 is in response to these directives. 



234 



o 



Smithsonian Institution 



G. Wayne Clough 
Secretary 

July 22, 2011 

Ms. Ami Mittal 

Director 

Natural Resources and Environment 

United States Government Accountability Office 

441 G Street, NW 

Washington, DC 20548 

Dear Ms. Mittal: 

I am submitting to you a statement of actions taken on the Government Accountability 
Office's (GAO) recommendations related to their report entitled "Smithsonian 
Institution: Much Work Still Needed to Identify and Repatriate Indian Human Remains 
and Objects." 

The GAO made four recommendations to the Smithsonian's Board of Regents in its 
report on repatriation. These recommendations address (1) annual reports to 
Congress; (2) the jurisdiction of the Repatriation Review Committee (RRC); (3) the 
creation of an integrated appeals process; and (4) policy on culturally unidentifiable 
items. 

1. The GAO recommends that the Board of Regents: "Through the Secretary, 
direct the Review Committee to report annually to Congress on the 
Smithsonian's implementation of its repatriation requirements in the NMAI 
Act to provide Congress with information on the Smithsonian's repatriation 
activities." 

The NMAI Act prescribes that the Secretary is ultimately responsible for 
repatriation at the Smithsonian, and the Repatriation Review Committee's 
("RRC") bylaws specify that the RRC is advisory to the Secretary. Therefore, it 
is appropriate for the Secretary to report annually to Congress on Smithsonian's 
repatriation activities. The Secretary has directed the National Museum of 
Natural History (NMNH) and the National Museum of the American Indian 
(NMAI), through their repatriation staff, to work together to produce an annual 
report on Smithsonian repatriation activities. In doing so, the staff may 
incorporate relevant sections of the annual report prepared by the RRC for the 
Secretary. The RRC will be invited to review and comment on the Institution's 
annual report prior to the Secretary's issuance of the report to Congress. 

2. The GAO recommends that the Board of Regents: "Direct the Secretary of 
the Smithsonian to expand the Review Committee's jurisdiction to include 

Smithsonian Institution Building 

1000 Jefferson Drive SW 

Washington DC 20560-0016 

202.633.1846 Telephone 

202.786.2515 Fax 235 



the American Indian Museum, as required by the NMAI Act, to improve 
oversight of Smithsonian repatriation activities. With this expanded role for 
the Review Committee, the Board of Regents and the Secretary should also 
consider where the most appropriate location for the Review Committee 
should be within the Smithsonian's organizational structure." 

The Smithsonian has already indicated that it does not agree with GAO's 
conclusion that the NMAI Act requires the Review Committee to exercise 
jurisdiction over NMAI's repatriation activities. Nevertheless, the Smithsonian 
recognizes that improved coordination, consultation and communication between 
NMNH and NMAI with regard to repatriation activities may result in an expanded 
role for the Review Committee as an additional resource for the NMAI Board of 
Trustees in addressing NMAI repatriation claims and potential disputes. For 
example, with permission of tribal claimants, NMAI will provide reports 
addressing NMAI claims to the Repatriation Review Committee and NMNH 
reports will be provided to the NMAI Board of Trustees. 

3. The GAO recommends that the Board of Regents: "Establish an 
independent administrative appeals process for Indian tribes and Native 
Hawaiian organizations to appeal decisions to either the Board of Regents or 
another entity that can make binding decisions for the Smithsonian 
Institution to provide tribes with an opportunity to appeal cultural affiliation 
and repatriation decisions made by the Secretary and the Board of 
Trustees." 

Based on GAO's recommendation, the Smithsonian is considering alternative 
ways in which tribes may appeal cultural affiliation and repatriation decisions 
made by the Secretary and the NMAI Board of Trustees. This recommendation 
has led to internal discussions between the directors of NMNH and NMAI and 
other senior leadership, as well as consultation with the NMAI Board of Trustees, 
to identify an appeals process that is effective and consistent with the authority of 
the Secretary and NMAI Board of Trustees as set forth in the NMAI Act. The 
resulting proposals have not yet been fully vetted, so it would be premature to 
provide them at this time but we anticipate establishing an appeals process by the 
end of the year. The Smithsonian has considered GAO's proposal that the 
Smithsonian's Board of Regents serve as the appellate body, but concluded that it 
would be inconsistent with the role of the Board of Regents to participate in 
managerial and operational issues arising from repatriation activities. 

4. The GAO recommends that the Board of Regents: "Direct the Secretary and 
the American Indian Museum's Board of Trustees to develop policies for the 
Natural History and American Indian Museums for the handling of items in 
their collections that cannot be culturally affiliated to provide for a clear and 
transparent repatriation process." 



236 



The NMAI Board of Trustees recently directed NMAI's management to prepare a 
draft policy on unaffiliated items to submit to Native American tribes for 
comment, and such policy is currently being developed. In addition, NMAI and 
NMNH jointly conferred with tribes at the 201 1 National Congress of American 
Indians on the subject of culturally unidentified items. NMNH maintains that, 
under the standard set forth in the NMAI Act that requires use of the best 
available scientific and historical documentation to affiliate remains with the 
correct cultural group, all items in the NMNH collection either are affiliated with 
or, with additional scientific research and technological developments, may be 
affiliated with tribes. NMNH does not consider any of the Native items in its 
collections permanently to be culturally unidentifiable. At such time as items are 
determined to be unidentifiable, NMNH will look to the NMAI policy and other 
applicable policies to develop a policy on culturally unidentifiable Native items. 

Thank you for your attention to this matter. Please feel free to contact me if I may 
provide additional information. 

Sincerely, 



u^A^ Oq^-o* — CX" 



237 



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239 



SMITHSONIAN INSTITUTION LIBRARIES 





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